| 11-03842 | 04/08/2013 | Claimant(s): Frank Papa
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Saverio J. Cina, Madelon M. Rosenfeld, Laura Carraher
Hearing Site: New York, NY
|  | $0 |
| 11-04045 | 04/08/2013 | Claimant(s): Douglas Osburn
Claimant Lawyers(s): Laura E. Landenwich
Respondent(s): Chad Miller, David Taggart, Touchtrade.com.
Respondent Lawyers(s): Chad Eugene Miller, David Christopher Taggart
Arbitrator(s): Richard B. Lewis, Jan M. West, James Douglas Wilbanks
Hearing Site: Louisville, KY
| | $0 |
| 10-05466 | 04/05/2013 | Claimant(s): Alice Soto, Betty Lee, Blair Brooksby, Curtis Alling, Curtis Sylvester-Jose, Curtis Webb, Darryl Morrison, David Campell, David Moy, Deborah Keyston, Evelyn Delcid, Francesca Brown, George Keyston, James Chew, James Weidinger, Jean Chew, Jeannette Chan, Jerry Rubelt, Kin Leong, Kirk Theis, et al
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Pacific West Financial Group, Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges, Dennis J. Kelly
Arbitrator(s): Marlyn G. McClaskey, Charles E. Farnsworth, Roberta R. Jeffrey
Hearing Site: San Francisco, CA
| | $5,709,720 |
| 12-00271 | 04/05/2013 | Claimant(s): Kevin O'Neill
Claimant Lawyers(s): Robert C. Levels
Respondent(s): Birkelbach Investment Securities.
Respondent Lawyers(s): Christopher Wurtzinger
Arbitrator(s): Michael F. Jordan, Epaminondas Eddie Manelis, Michael S. Jordan
Hearing Site: Chicago, IL
| | $687,410 |
| 12-02327 | 04/05/2013 | Claimant(s): Mark Bremen
Claimant Lawyers(s): Mark D. Bremen
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin Fair
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $1,128 |
| 11-04066 | 04/04/2013 | Claimant(s): Jagjiwan Merchia
Claimant Lawyers(s): Jagjiwan G. Merchia
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 12-01394 | 04/03/2013 | Claimant(s): Robert Fabric
Claimant Lawyers(s): Robert M. Kramer
Respondent(s): Erik Lenyk, Hefren-Tillotson.
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Mitchell B. Goldberg, James T. Carney, Thomas David Hudak
Hearing Site: Pittsburgh, PA
| | $10,816 |
| 09-05573 | 04/03/2013 | Claimant(s): Norma Byer
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Roger T. Verhage, Peter H. Daly, Joseph Berzok
Hearing Site: Reno, NV
| | $0 |
| 10-05679 | 04/03/2013 | Claimant(s): Akira Akagawa, Anna Liao, Mike Fuller, Seiko Akagawa, Fuller-Liao Family Trust
Claimant Lawyers(s): Christopher Mader
Respondent(s): Alexander Montano, Christopher Turoci, Otilia Chen Rodriguez, Shawn Crawford, Steven Goodrich, C.K. Cooper & Company.
Respondent Lawyers(s): David Jarvis, Shawn E. Cowles, Shawn Patrick Crawford
Arbitrator(s): Robert E. Thompson, Roslyn Terri Mandel, Richard Ullman
Hearing Site: San Francisco, CA
| | $687,644 |
| 11-02573 | 04/03/2013 | Claimant(s): Leslie Goldberg
Claimant Lawyers(s): Steven E. Cole
Respondent(s): Alan Singer, Wells Fargo Advisors
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Richard A. Scalfani, Stuart M. Schwartz, Ralph L. Halpern
Hearing Site: Syracuse, NY
| | $0 |
