| 12-01719 | 03/04/2013 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Mark Cuccaro
Respondent(s): Gerald Gregor
Respondent Lawyers(s): Gerald J. Gregor
Arbitrator(s): Sam Antar
Hearing Site: Newark, NJ
|  | $0 |
| 10-03341 | 03/04/2013 | Claimant(s): Dominga Ruiz, Theron Ruiz, Marinciana
Claimant Lawyers(s): Dominga Ruiz, Theron Ruiz
Respondent(s): Marvin Revoal, Paul Wiggins, KGM International, LTD, Savons
Respondent Lawyers(s): Paul Anthony Wiggins, Paul Wiggins, Scott P. Monfils
Arbitrator(s): Clyde Fahlman, F. Richard Middaugh, William J. Chambers
Hearing Site: Portland, OR
| | $895,790 |
| 11-01377 | 03/04/2013 | Claimant(s): Scott Teter
Claimant Lawyers(s): Susan R. Healy
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Elizabeth A. Copley, Herbert Murez, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | $0 |
| 11-03819 | 03/04/2013 | Claimant(s): Margaret Tomkiewicz, Estate of Walter J. Tomkiewicz, Walter J. Tomkiewicz Trust
Claimant Lawyers(s): Gary S. Matsko
Respondent(s): Jon Piwowarczyk
Respondent Lawyers(s): Jon Edward Piwowarczyk
Arbitrator(s): Colette Manoil, B. J. Krintzman, Gene M. Bauer
Hearing Site: Boston, MA
| | $445,861 |
| 12-02740 | 03/04/2013 | Claimant(s): Joe McGlone
Claimant Lawyers(s): Joe McGlone
Respondent(s): Keith Brown, UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $213 |
| 11-04428 | 03/01/2013 | Claimant(s): Barbara Fairbanks, Creighton Rauh, George Hughes, Karl Fairbanks, Keith Kriewall, Lynda Masterson, Merri Zehfus Kriewall, Nancy Huges, Shirley Sandwith
Claimant Lawyers(s): Dave Gaba
Respondent(s): Centaurus Financial.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): William J. Bender, Roy J. Moceri, Mark Harris Adams
Hearing Site: Seattle, WA
| | $186,544 |
| 10-05115 | 03/01/2013 | Claimant(s): John Darnell
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): Morgan Stanley
Respondent Lawyers(s): William Hohauser
Arbitrator(s): James R. Augustine, W. Merrill Glasgow, Stacey L. Barnes
Hearing Site: Houston, TX
| | $0 |
| 11-01716 | 02/27/2013 | Claimant(s): Maria Berrios
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): UBS Financial Services Inc., Oriental Financial Services Corp., UBS Financial Services of Puerto Rico
Respondent Lawyers(s): Alfredo Fernandez Martinez, Nanette Berrios-Haddock, Robert C. Quinones
Arbitrator(s): Martin A. Feigenbaum, Jerrold Levine, Michael E. Pearson
Hearing Site: San Juan, PR
| | $0 |
| 12-02062 | 02/27/2013 | Claimant(s): Beverly Lawson
Claimant Lawyers(s): Eric Lawson
Respondent(s): Erna McReynolds, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Stuart M. Schwartz
Hearing Site: Albany, NY
| | $0 |
| 11-04796 | 02/26/2013 | Claimant(s): Edwin Grimm
Claimant Lawyers(s): Birgitta K. Siegel
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Kenneth Dymond
Hearing Site: Syracuse, NY
| | $0 |
