| 11-03020 | 04/10/2013 | Claimant(s): Alaa Elhamrawy
Claimant Lawyers(s): Alaa Elhamrawy
Respondent(s): Optionsxpress., USAA Investment Management Company
Respondent Lawyers(s): Anthony L. Valenzuela, Theodore C. Schultz
Arbitrator(s): William I. Carmen, Jeffrey L. Frankel, Frank Sanclemente
Hearing Site: Boston, MA
|  | $0 |
| 09-07084 | 04/09/2013 | Claimant(s): Carol Cohen, Ronald Cohen
Claimant Lawyers(s): Robert I. Rabinowitz
Respondent(s): Jeffrey Rachlin, Alternative Wealth Strategies.
Respondent Lawyers(s): James C. Gaul, Jeffrey Rachlin
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Linda J. Baer
Hearing Site: Newark, NJ
| | $0 |
| 11-03229 | 04/09/2013 | Claimant(s): NNN One Chesterfield Place 36, NNN St. Charles 5., Sharyl J. Lee, individually and as Sole
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Elizabeth Lowery
Arbitrator(s): Neil S. Jasper, Vincent J. Natoli, Robert Alan Merring
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00729 | 04/09/2013 | Claimant(s): Irene Kochendorfer
Claimant Lawyers(s): John Bender
Respondent(s): Philip Pizelo, Shanon Ford, William Swayne, Pacific West Securities., WMS Financial Planners
Respondent Lawyers(s): Chance Hodges
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Charles Scott McClellan
Hearing Site: Seattle, WA
| | $0 |
| 12-03595 | 04/09/2013 | Claimant(s): Catherine Haas
Claimant Lawyers(s): Catherine Haas
Respondent(s): Ameriprise Financial Services., John Hughes
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Alun Hywel Jones
Hearing Site: Augusta, ME
| | $19,879 |
| 11-03693 | 04/09/2013 | Claimant(s): Christine Erickson, William Erickson
Claimant Lawyers(s): John R. Kiefner
Respondent(s): Ameriprise Financial Services., Lance Becatti
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Edith N. Dinneen, Deborah J. Powell, Andrea Bailey
Hearing Site: Tampa, FL
| | $0 |
| 11-04414 | 04/09/2013 | Claimant(s): James Gerard
Claimant Lawyers(s): James Gerard
Respondent(s): Jeremy Tintle, Oppenheimer & Co..
Respondent Lawyers(s): Jeremy Gerald Tintle, Leo Kogan
Arbitrator(s): Chandler R Bridges
Hearing Site: Atlanta, GA
| | $0 |
| 12-03186 | 04/09/2013 | Claimant(s): John & Anna Genna
Claimant Lawyers(s): John Genna
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 12-03541 | 04/09/2013 | Claimant(s): Lisa Davis
Claimant Lawyers(s): Jennifer G. Lloyd
Respondent(s): LPL Financial LLC, Michael Curran
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Leonard E. Benade
Hearing Site: Columbia, SC
| | $213 |
| 11-03807 | 04/08/2013 | Claimant(s): Robert K. Miller Roth IRA
Claimant Lawyers(s): Leonard P. Haberman
Respondent(s): Noble Financial Capital Markets
Respondent Lawyers(s): Peter Jung
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $36,753 |
