| 12-00058 | 03/18/2013 | Claimant(s): Joseph Westerland
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Christopher Bond, National Securities Corporation
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Paul J. Greco
Hearing Site: Wilmington, DE
|  | $0 |
| 09-00883 | 03/15/2013 | Claimant(s): John Beland and Elaine Beland, John Beland as TTEE of the Floyd and
Claimant Lawyers(s): David A. Genelly
Respondent(s): Ameriprise Financial Services., Ronald Miller
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Robert L. Agusto, Steven P. Gomberg, Michael I. White
Hearing Site: Chicago, IL
| | $0 |
| 10-04481 | 03/15/2013 | Claimant(s): Frank Tsuru, Stephanie Tsuru
Claimant Lawyers(s): Scott D. Marrs
Respondent(s): Brodie Cobb, Colin Carter, Jerome Deren, Julie Helwig, Presidio Capital Advisors, Llc, Presidio Financial Partners, L.L.C., Presidio Wealth Management
Respondent Lawyers(s): Jennifer Evans Morris
Arbitrator(s): Linda Broocks, David G. Beerbower, Arno C. Schwethelm
Hearing Site: Houston, TX
| | $0 |
| 11-03561 | 03/15/2013 | Claimant(s): Alan Hainsworth
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
| | $0 |
| 12-01051 | 03/15/2013 | Claimant(s): George White, Nancy White
Claimant Lawyers(s): Robert A. Bunda
Respondent(s): Richard Sandru, Cambridge Investment Research.
Respondent Lawyers(s): Richard Patrick Sandru, Sabryne Coleman
Arbitrator(s): Michael L. Fortney, James J. Puhala, John C. Aten
Hearing Site: Cleveland, OH
| | $90,834 |
| 12-01157 | 03/15/2013 | Claimant(s): David Forster, Sandra Forster
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): David Theis
Respondent Lawyers(s): David Alan Theis
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $290,000 |
| 12-01684 | 03/15/2013 | Claimant(s): Frank Manfredi, Joseph Manfredi
Claimant Lawyers(s): Joseph Manfredi
Respondent(s): Peter Quartararo, Franklin Christopher Investment Bankers, Merrimac Corporate Securities.
Respondent Lawyers(s): Franklin I. Ogele, Peter Raymond Quartararo, RL Barrett
Arbitrator(s): Martin Jay Siegel
Hearing Site: New York, NY
| | $0 |
| 11-03675 | 03/14/2013 | Claimant(s): Jaime Melgarejo
Claimant Lawyers(s): Jaime Melgarejo
Respondent(s): Legend Securities.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 11-02327 | 03/14/2013 | Claimant(s): Dorothy Burhans, Winslow Burhans, A Testamentary TR ENT Share B
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Priscilla A. Donovan
Arbitrator(s): Richard E. Lauziere, Vicky L. Orem, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 11-04308 | 03/14/2013 | Claimant(s): Stephen Trigg
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
| | $0 |
