| 12-02141 | 03/22/2013 | Claimant(s): Robert I. Spiegel Trust Number 100
Claimant Lawyers(s): Mona Lawton
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
|  | $0 |
| 11-03327 | 03/21/2013 | Claimant(s): Peter Hasho
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Kip C. Lubcke, Mitchell S. Friedman, Robert G. O'Brien
Hearing Site: New York, NY
| | $0 |
| 12-03227 | 03/21/2013 | Claimant(s): Eliseo Alatorre
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Lester Friedman, Peter H. Daly, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $0 |
| 12-00117 | 03/21/2013 | Claimant(s): Christin Pond Farr, Executrix under Will
Claimant Lawyers(s): Christin P. Farr
Respondent(s): Jan Mueller
Respondent Lawyers(s): Sheetal Parikh
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
| | $163 |
| 12-01058 | 03/21/2013 | Claimant(s): Richard Klein
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Erin Gibbons, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Ann Pinciss Berman, Martin A. Edelstein, Andrew J. Gerber
Hearing Site: New York, NY
| | $0 |
| 11-03202 | 03/20/2013 | Claimant(s): Joseph Lorio
Claimant Lawyers(s): James F. Willeford
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez, Executive Director
Arbitrator(s): Ron C. Christner, Jack Chapline Vaughan, Simeon B. Reimonenq
Hearing Site: New Orleans, LA
| | $0 |
| 12-01570 | 03/20/2013 | Claimant(s): Andy Mack
Claimant Lawyers(s): Andy Mack
Respondent(s): Brett Friedberg, HFP Capital Markets LLC
Respondent Lawyers(s): Samuel J. Lieberman
Arbitrator(s): Brett W. Olander
Hearing Site: Des Moines, IA
| | $0 |
| 12-02015 | 03/20/2013 | Claimant(s): Keith Bryant
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Kimberly A. Gilmour
Hearing Site: Atlanta, GA
| | $0 |
| 12-03195 | 03/19/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Sarah Hobbins
Respondent Lawyers(s): Sarah L. Hobbins
Arbitrator(s): William B. Ross
Hearing Site: Milwaukee, WI
| | $0 |
| 11-02175 | 03/18/2013 | Claimant(s): Gary Rucker
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): Valerie J. Hamm, Darryl C. Wilson, Jack A. Helms
Hearing Site: Tampa, FL
| | $0 |
