| 12-00064 | 02/26/2013 | Claimant(s): Catherine St. Clair
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Cambridge Investment Research.
Respondent Lawyers(s): Carol Li
Arbitrator(s): Fredrick T.W. Reed, Mollie Wagner Neal, Harry G. Mason
Hearing Site: Atlanta, GA
|  | $0 |
| 12-01065 | 02/26/2013 | Claimant(s): Paul Kroell
Claimant Lawyers(s): Paul Gerrit Kroell
Respondent(s): Bill Gregg, Jamie Meronoff, Scottrade Inc., Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione, Niels P. Murphy
Arbitrator(s): Harvey C. Flodin, David G Sear, Mitchell Lee Lathrop
Hearing Site: San Diego, CA
| | $0 |
| 11-03871 | 02/26/2013 | Claimant(s): Howard Christian
Claimant Lawyers(s): Howard J. Christian
Respondent(s): Edward McBride, Gregg Libutti, Jeffrey Endicott, AIG Retirement Advisors., Valic Financial Advisors.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Robert J. Ambrogi, Edward Aptaker, Susan E. Maloney
Hearing Site: Boston, MA
| | $0 |
| 12-00713 | 02/26/2013 | Claimant(s): Charles McCally, Judy McCally, Charles R. McCally Sr, IRA
Claimant Lawyers(s): Charles R McCally, Judy L McCally
Respondent(s): Optionshouse
Respondent Lawyers(s): Lesley G. Smith
Arbitrator(s): Arthur H. Geffen, Jeff Abrams, Jeffrey Richard Chiappetta
Hearing Site: Dallas, TX
| | $0 |
| 12-02083 | 02/26/2013 | Claimant(s): Enrique Franco
Claimant Lawyers(s): John Vong
Respondent(s): AXA Distributors
Respondent Lawyers(s): Ronald D. Smith
Arbitrator(s): Michael S. Wilk
Hearing Site: Houston, TX
| | $0 |
| 11-03073 | 02/25/2013 | Claimant(s): Corwin Farris, Gloria Farris
Claimant Lawyers(s): Jami Jackson Farris
Respondent(s): Christopher Pridnia, Harry Satterfield, Edward Jones, Allstate Life Insurance Company
Respondent Lawyers(s): David G. Smitham, John F. Hanzel, Peter J. Valeta
Arbitrator(s): Leon Henderson, James Whitaker Ballou, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
| | $0 |
| 11-04768 | 02/25/2013 | Claimant(s): David Bobo
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Joseph V. Simeri
Hearing Site: Louisville, KY
| | $103,290 |
| 11-04786 | 02/25/2013 | Claimant(s): Howard M. and Mary Ann L. Singer Trust
Claimant Lawyers(s): Joshua M. Baskin
Respondent(s): Chien Nguyen, Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00704 | 02/25/2013 | Claimant(s): Kenneth and Lorraine DeBritto
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Lewis J. Levey
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 12-01119 | 02/25/2013 | Claimant(s): Cindi L. Grauer, Robert W. Grauer
Claimant Lawyers(s): Robert W. Grauer
Respondent(s): Delphi Wealth Advisors
Respondent Lawyers(s): Steven P. Grager
Arbitrator(s): Richard L. Rubin, Donald S. Green, John B. Weingart
Hearing Site: San Francisco, CA
| | $109,855 |
