| 12-02685 | 05/07/2013 | Claimant(s): Michael Pinsent, Susan Kelly
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Robert Kennedy
Respondent Lawyers(s): Robert Joseph Kennedy
Arbitrator(s): David E. Robbins
Hearing Site: New York, NY
|  | $325 |
| 11-03704 | 05/06/2013 | Claimant(s): Eugene Opatz, Ruth Opatz
Claimant Lawyers(s): Donald R. McNeil
Respondent(s): David Theis
Respondent Lawyers(s): Davis Alan Theis
Arbitrator(s): Peter N. Thompson, Brett W. Olander, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $1,174,350 |
| 12-00997 | 05/06/2013 | Claimant(s): Michael Ryan
Claimant Lawyers(s): Steele T. Williams
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Roger W. Van Deusen, Ruth C. Adrian, Robert Knickerbocker
Hearing Site: Tampa, FL
| | $0 |
| 12-01118 | 05/06/2013 | Claimant(s): Dawn Bortman
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Henry Lucander
Respondent Lawyers(s): Henry Lucander
Arbitrator(s): Steven Gerard Goerke, Dennis M. Ross, Robert S. Shuster
Hearing Site: Boca Raton, FL
| | $110,250 |
| 12-00525 | 05/03/2013 | Claimant(s): Robert Hetherington
Claimant Lawyers(s): Robert Hetherington
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Robert Youdelman
Hearing Site: New York, NY
| | $0 |
| 12-02554 | 05/03/2013 | Claimant(s): Ariel Mendoza
Claimant Lawyers(s): Ariel M. Mendoza
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Mack E. McCain
Arbitrator(s): Darryl J. Horowitt
Hearing Site: San Francisco, CA
| | $38 |
| 09-05843 | 05/02/2013 | Claimant(s): Beatrice Pigno, Carolyn Andre, Chia Liu, Chu Mein, Clifton Dufour, Cody Milton, David Stelly, Dolores Perry, Eric Pace, George Quartano, Gerald Perry, Jean Tsai, John Murphy, John Templet, Jung Lo, Lisa Dufour, Lola Stelly, Loleta Soloman, Marc Stelly, Pat Milton, et al
Claimant Lawyers(s): Lance C. McCardle, W. Andrew Clayton
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Clayton J. Borne, Brian P. Jakes, Richard J. Clement
Hearing Site: New Orleans, LA
| | $0 |
| 11-02396 | 05/02/2013 | Claimant(s): Kenneth Nelson, Kris Nelson, Carol W. Nelson, Carol W. Nelson Trust, Kenneth A. Nelson Irrevocable Insurance, Kenneth A. Nelson Revocable Trust
Claimant Lawyers(s): Daniel H. Charest
Respondent(s): Jason Stephens, UBS Financial Services Inc., The Stephens Wealth Management Group
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): Barry David Thorpe, Philip L. Manczak, Theresa Lillian Mains
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 11-03660 | 05/02/2013 | Claimant(s): Felicia Jones
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): James Schwantner, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Kenneth E. Meister, Susan P. MacFarlane
Arbitrator(s): Marianne C. Hussey
Hearing Site: New York, NY
| | $0 |
| 12-01460 | 05/02/2013 | Claimant(s): Joyce McCumber, Larry McCumber
Claimant Lawyers(s): Joseph S. Fogel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jessica A. Shaver
Arbitrator(s): Harvey R. Linder, John F. O'Neill, Bonnie B. Revoner
Hearing Site: Atlanta, GA
| | $0 |
