| 12-01181 | 04/03/2013 | Claimant(s): Nancy Brown, Nancy F. Brown Trust dated 7/24/1989
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Sagepoint Financial., John Venable
Respondent Lawyers(s): Justin Sacca, Thomas Fleming
Arbitrator(s): Jon C. Milliken, Sally G. Williams, Chad Anthony Franks
Hearing Site: San Diego, CA
|  | $0 |
| 11-03027 | 04/03/2013 | Claimant(s): Ji Min
Claimant Lawyers(s): Ji Young Min
Respondent(s): Daniel Ladner, David Prockter, UBS Financial Services Inc.
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): David S. Billet, Fred L. Simon, William G. Haviland
Hearing Site: New York, NY
| | $0 |
| 11-03426 | 04/03/2013 | Claimant(s): Gerald Kahn
Claimant Lawyers(s): Shlomo G. Dickerman
Respondent(s): Chase Investment Services Corp., Vidya Jaggernauth
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Lincoln W. Craighead
Hearing Site: New York, NY
| | $0 |
| 11-00603 | 04/02/2013 | Claimant(s): Chase Bailey
Claimant Lawyers(s): Michael R. Perry
Respondent(s): Karl Hahn
Respondent Lawyers(s): Karl Edward Hahn
Arbitrator(s): June Y. Kilmarx, Andrew Peter Maneval, John Francis Markuns
Hearing Site: Manchester, NH
| | $10,555,000 |
| 11-01387 | 04/02/2013 | Claimant(s): Robert Scanlon and Donna Scanlon
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Stuart Rothenstein, William C. Soo-Hoo, John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 11-03882 | 04/02/2013 | Claimant(s): John McNiven
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Stephen P. LaLonde
Hearing Site: Albany, NY
| | $0 |
| 12-01720 | 04/02/2013 | Claimant(s): Norman Hoffberg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Gregory G. Gocek
Hearing Site: Chicago, IL
| | $0 |
| 12-00207 | 04/02/2013 | Claimant(s): John Cohane, Neal Cohane
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Andrew Shapiro, Donald Hunter, Gregory Martino, Tatyana Andreyeva, Westrock Advisors.
Respondent Lawyers(s): Andrew Jay Shapiro, Donald Horton Hunter, Gregory Marcel Martino, Louis J. Rich, Tatyana Andreyeva
Arbitrator(s): Lincoln W. Craighead, Stewart F. Kleinman, Eileen Devaney Leo
Hearing Site: Hartford, CT
| | $0 |
| 10-01981 | 04/01/2013 | Claimant(s): Kristin Brown, Scott Haney
Claimant Lawyers(s): Samuel Tenenbaum
Respondent(s): Wells Fargo Investments, Kevin Shimota
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
| | $0 |
| 10-05741 | 04/01/2013 | Claimant(s): Oscar Ovalles
Claimant Lawyers(s): Gabriel Groisman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Nancy J. Cliff, Todd M. Saunders, John H. Claudy
Hearing Site: Miami, FL
| | $0 |
