| 12-01793 | 05/02/2013 | Claimant(s): Donald Soards
Claimant Lawyers(s): Donald E. Soards
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer R. Willey
Arbitrator(s): James B. Eichberg, Ronald G. Guida, David L. Erickson
Hearing Site: Albuquerque, NM
|  | $0 |
| 11-02134 | 05/01/2013 | Claimant(s): Paul and Veronica Pinchuk
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Michael Shannon
Arbitrator(s): Bennett A. Hall
Hearing Site: Hartford, CT
| | $0 |
| 11-02677 | 04/30/2013 | Claimant(s): Purnima Shah
Claimant Lawyers(s): W. Barry Blum
Respondent(s): BBVA Securities Of Puerto Rico.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Mark C. Perry, Nancy J. Cliff, Abigail Falcon-Rosa
Hearing Site: San Juan, PR
| | $212,705 |
| 12-01057 | 04/30/2013 | Claimant(s): Mark Snyder
Claimant Lawyers(s): Harold F. McGuire
Respondent(s): Paul Daly, Samuel A. Ramirez & Co..
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Robert Pincus, Robert J. Allen, Douglas A. Eldridge
Hearing Site: Albany, NY
| | $0 |
| 12-01963 | 04/30/2013 | Claimant(s): Robert McReynolds
Claimant Lawyers(s): Robert McReynolds
Respondent(s): George Price, Edward Jones
Respondent Lawyers(s): Javier Chavez
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | $0 |
| 12-01499 | 04/29/2013 | Claimant(s): Joseph Pittman, Robert Dryden, Scott McArthur
Claimant Lawyers(s): Charles M. Thompson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): Gloria J Liddell, Nigel W. Sadd, Orville Barrington Wright
Hearing Site: Birmingham, AL
| | $0 |
| 10-05827 | 04/29/2013 | Claimant(s): Naomi Bowling, Richard Bowling
Claimant Lawyers(s): J. Anthony Penry
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Leonard E. Benade, Patricia Ann Tracey, Mary B. Campbell
Hearing Site: Charlotte, NC
| | $0 |
| 11-01713 | 04/26/2013 | Claimant(s): Ronald J. DiMaio and Annette F. DiMaio
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Mary H. Cory, Edward R. Niederriter, Gerald M. Siegel
Hearing Site: Boca Raton, FL
| | $0 |
| 11-01967 | 04/26/2013 | Claimant(s): Marcia Ragsdale, The Mary M. Pollock Irrevocable Trust
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise M. Henry
Arbitrator(s): Henry Sanchez, William F. Julavits, Frank V. Tutone
Hearing Site: Charlotte, NC
| | $0 |
| 11-03992 | 04/25/2013 | Claimant(s): Roberta Jessop, Raymond Eugene & Roberta Jessop Rev Trst
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Sheldon Schumaker, Pruneyard Financial Group., Western International Securities.
Respondent Lawyers(s): Andrew D. Castricone, Daniel S. Kubasak
Arbitrator(s): Carl B. Noelke, Pamela S. Mann, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
| | $0 |
