| 11-04202 | 04/01/2013 | Claimant(s): Jo Mayeroff
Claimant Lawyers(s): Jo Mayeroff
Respondent(s): Daniel Schaffer, Aaron Capitalorporated
Respondent Lawyers(s): Gilbert W. Boyce
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
|  | $0 |
| 12-00225 | 04/01/2013 | Claimant(s): Victor Alvarez-Mauras
Claimant Lawyers(s): Paul Vilaro Nelms
Respondent(s): Popular Securities.
Respondent Lawyers(s): Alan Wolper
Arbitrator(s): Roy B. Gonas, Bernard A. Becker, Daniel P. Lund
Hearing Site: San Juan, PR
| | $0 |
| 12-00914 | 04/01/2013 | Claimant(s): Jack Hoffman, Taeko Hoffman
Claimant Lawyers(s): James Barbee, Timothy Feil
Respondent(s): Alexander Gorchakov, Daniel Silverstein
Respondent Lawyers(s): Alexander Gorchakov, Daniel Louis Silverstein
Arbitrator(s): James A. Sigler, Robert Rosen, Leslieann Lee Brucker
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04993 | 03/28/2013 | Claimant(s): Alberta Thornhill
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Banc of America Investment Services Inc., Capital One Investment Services LLC
Respondent Lawyers(s): Genna Stephens, Todd Ratner
Arbitrator(s): George A. Sellnau, Jonathan Burke Rada, William R. Jonson
Hearing Site: Houston, TX
| | $0 |
| 11-02276 | 03/28/2013 | Claimant(s): Jacki Conolley, Sheldon Bloch, The North Family Trust, The Weston Living Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Elliott Zachary Seff, Eugene A. Taylor, John B. La Rue
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00976 | 03/28/2013 | Claimant(s): Charles Tilghman
Claimant Lawyers(s): Charles S. Tilghman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $0 |
| 12-03217 | 03/28/2013 | Claimant(s): Harry Rubinoff, Judith Engelman
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Michael Jones
Arbitrator(s): Paul A. Cash
Hearing Site: Phoenix, AZ
| | $94,947 |
| 12-01801 | 03/28/2013 | Claimant(s): Daniel H. Lerner
Claimant Lawyers(s): Daniel H. Lerner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
| 10-04047 | 03/27/2013 | Claimant(s): Karen Lamoreaux, Karen Lamoreaux IRA, The Socal Air. Profit Sharing Plan, The Lamoreaux Trust
Claimant Lawyers(s): David Liebrader
Respondent(s): Eric Cannon, Gitty Rahbar, Kimberly Michel, MML Investors Services
Respondent Lawyers(s): Eric Christopher Cannon, Louis H. Castoria, Sylvia M. Scott, William P. Thornton
Arbitrator(s): Richard J. Stall, Eugene A. Taylor, Terry Lynn Chambless
Hearing Site: Los Angeles, CA
| | $1,137,920 |
| 11-03526 | 03/27/2013 | Claimant(s): Dr. John O. Buoni Rollover IRA
Claimant Lawyers(s): John Buoni
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Edward Aptaker
Hearing Site: Boston, MA
| | $0 |
