| 12-02028 | 02/25/2013 | Claimant(s): Joan McGill, Peter McGill
Claimant Lawyers(s): Peter R. McGill
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Baltimore, MD
|  | $0 |
| 10-04837 | 02/22/2013 | Claimant(s): Karen Wykrent, Michael Wykrent
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): William E. Hartsfield, Karen J. Zvonecek, Edward J. Lynch
Hearing Site: Dallas, TX
| | $0 |
| 11-04209 | 02/22/2013 | Claimant(s): Edward Schell
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): NewBridge Securities Corp., Robert Macnamee
Respondent Lawyers(s): Gregg Breitbart
Arbitrator(s): Doris J. Dabrowski
Hearing Site: Philadelphia, PA
| | $0 |
| 11-03706 | 02/22/2013 | Claimant(s): Bernard Malone, Mary Malone
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Donald Hodges, First Dallas Securities Incorporated
Respondent Lawyers(s): N. Henry Simpson
Arbitrator(s): G. Maynard Green, Russell H Hairston, James Douglas Haigh
Hearing Site: Dallas, TX
| | $0 |
| 11-03458 | 02/21/2013 | Claimant(s): Baroukh Levi, Trudy Levi, Baroukh Levi IRA, Trudy and Baroukh Levi Joint Acct., Park Anesthesia PSP, Park Anesthesiologist PSP, Pro Anesthesia SC Emp RP, The Park Anestheia LLC 401K Plan, Baroukh Levi Living Trust
Claimant Lawyers(s): Martin Q. Ryan
Respondent(s): Timothy Mcfadden, Timothy Mcmullan, Capital Brokerage Corporation
Respondent Lawyers(s): Joshua Kroot, Timothy Owen McMullan, Timothy McFadden
Arbitrator(s): John D. Crawford, Champ W. Davis, Elizabeth C. Simon
Hearing Site: Chicago, IL
| | $0 |
| 11-00219 | 02/20/2013 | Claimant(s): Michael Gallagher and Mary Gallagher
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tom Briody
Arbitrator(s): Carol H. Gold, Edward F. Koren, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
| | $0 |
| 11-02375 | 02/20/2013 | Claimant(s): Dorothy Miller, Sam Miller, Dorothy J. Miller IRA, Dr. Sam S. Miller IRA, Ms. Dorothy J. and Dr. Sam S. Miller, Dr. Sam S. Miller Trust, Ms. Dorothy J. Miller Trust
Claimant Lawyers(s): Sylvan S. Lang
Respondent(s): Edwin Fulkerson, Charles Schwab & Co..
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Robert M. Birenbaum, Donald K. Eckhardt, Larry J. Craddock
Hearing Site: Houston, TX
| | $0 |
| 11-03374 | 02/20/2013 | Claimant(s): John North
Claimant Lawyers(s): Joseph Wojciechowski
Respondent(s): Ausdal Financial Partners.
Respondent Lawyers(s): Jeff Ziesman
Arbitrator(s): Michael Nathanson
Hearing Site: Chicago, IL
| | $0 |
| 11-04592 | 02/20/2013 | Claimant(s): John Herl
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): John Greer
Respondent Lawyers(s): John Michael Greer
Arbitrator(s): Jack Stein, James W. Geiger, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
| | $390,800 |
| 12-00949 | 02/20/2013 | Claimant(s): Anthonio Ricatti, Dana Ganci, Gloria Helman, John Ganci, Michael Allard
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Peter King
Arbitrator(s): Linda M. Granata, Michael A. Levin, Glenn Franklin Fuller
Hearing Site: Ft. Lauderdale, FL
| | $0 |
