| 11-03950 | 03/26/2013 | Claimant(s): Richard Lindstrom, Robert Kwass, James and Ruth DeMartini, Norwood and Patricia Hoecker
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Workman Securities Corporation
Respondent Lawyers(s): Dana Vietor
Arbitrator(s): Marc Scott Shapiro, Richard J. Kaplan, Jack G. Armstrong
Hearing Site: Boca Raton, FL
|  | $350,300 |
| 11-04384 | 03/26/2013 | Claimant(s): Richard Gallagher
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): TD Ameritrade., Jerry Clark
Respondent Lawyers(s): James J. Vihstadt, Jerry Eaton Clark
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $580,000 |
| 12-03163 | 03/26/2013 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Vanguard Marketing Corporation
Respondent Lawyers(s): Brian T. Donadio
Arbitrator(s): Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
| 11-02948 | 03/25/2013 | Claimant(s): Alfano Children Limited Partnership, The Alfano Family Charitable Foundation
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Amy Bard
Arbitrator(s): Dwight Wassong, Stuart S. Berman, David Morris Weiss
Hearing Site: Newark, NJ
| | $0 |
| 11-03384 | 03/25/2013 | Claimant(s): Daniel Calitri
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Providence, RI
| | $0 |
| 11-03828 | 03/25/2013 | Claimant(s): K & M Dattani Irrevocable Trust
Claimant Lawyers(s): Andrew H. Wilson
Respondent(s): Wells Fargo Advisors, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Herb Schwartz, Ralph A. Cotton, Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $0 |
| 12-01376 | 03/25/2013 | Claimant(s): Barbara J. Hopkins, Earl S. Hopkins, Gerald R. Capozzoli
Claimant Lawyers(s): Christopher T. Meier
Respondent(s): Charles Harding, Pacific West Securities.
Respondent Lawyers(s): Chance A. E. Hodges, Charles Everett Harding
Arbitrator(s): Stephen Z. Frank, Alun Hywel Jones, Frederick J. Myers
Hearing Site: Manchester, NH
| | $308,720 |
| 12-01705 | 03/25/2013 | Claimant(s): Thomas Himmelberger
Claimant Lawyers(s): Thomas E. Himmelberger
Respondent(s): RBC Capital Markets LLC, William Reece
Respondent Lawyers(s): Julie Thrall Burrow
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
| | $0 |
| 11-02694 | 03/22/2013 | Claimant(s): Jose Ruiz Soto
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., of PR
Respondent Lawyers(s): Robert C. Quinones-Rivera
Arbitrator(s): Steven R. Reininger, Martin A. Feigenbaum, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | $0 |
| 11-04678 | 03/22/2013 | Claimant(s): David Levitt
Claimant Lawyers(s): Chad N. Cagan
Respondent(s): Ronald Marvin
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Burton M. Fendelman, Robert Youdelman, Robert S. Getman
Hearing Site: New York, NY
| | $402,950 |
