| 12-00289 | 02/06/2013 | Claimant(s): Alison Kaylor
Claimant Lawyers(s): Alison Jane Kaylor
Respondent(s): Chase Investment Services Corp., Ryan Bible
Respondent Lawyers(s): Matthew T. Wholey
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
|  | $213 |
| 12-01158 | 02/06/2013 | Claimant(s): Gerald Kaiser
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Gregory Berger, UBS Financial Services Inc., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James D. Sallah, Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Irene C. Warshauer, Herman Taub
Hearing Site: New York, NY
| | $0 |
| 09-03871 | 02/04/2013 | Claimant(s): Xiaohua Qu
Claimant Lawyers(s): Michael J. Maloney
Respondent(s): Deutsche Bank Securities., William Svoboda
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Michelle Judy Brant, Richard B. Bullock
Hearing Site: San Francisco, CA
| | $0 |
| 12-01708 | 02/04/2013 | Claimant(s): William Gonce
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Stephen P. Hoffman, Matthew J. Hoysa, Michael J. Pasquale
Hearing Site: Charlotte, NC
| | $20,000 |
| 12-01333 | 02/04/2013 | Claimant(s): Elta Cheramie
Claimant Lawyers(s): James F. Willeford
Respondent(s): Timothy Armentor, NFP Securities.
Respondent Lawyers(s): Duris L. Holmes
Arbitrator(s): Simeon B. Reimonenq, Clave E. Gill, Francis Frank Fontenot
Hearing Site: New Orleans, LA
| | $0 |
| 09-04977 | 02/01/2013 | Claimant(s): The Urban Child Institute
Claimant Lawyers(s): Caroline Smith Gidiere
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): James F. Carlson, Linda T. Pellegrino, Martha Jeanne Wilcoxson
Hearing Site: Memphis, TN
| | $0 |
| 11-00028 | 01/31/2013 | Claimant(s): Mary Barath
Claimant Lawyers(s): Alice Stewart
Respondent(s): Ameriprise Financial Services., Satish Singh, Timothy McLaughlin
Respondent Lawyers(s): Heather J. Melloh, Timothy M. McLaughlin
Arbitrator(s): Richard W. Dissen, Eileen B. Vernon, Daniel L. Bonder
Hearing Site: Cleveland, OH
| | $0 |
| 11-01265 | 01/31/2013 | Claimant(s): The Eckenrod Living Trust Dtd. 5/12/87
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | $0 |
| 11-01804 | 01/31/2013 | Claimant(s): Candace Parkin, Robert Rubens
Claimant Lawyers(s): Robert Rubens
Respondent(s): Gerry Kostuk, Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ralph M. Goren
Hearing Site: Chicago, IL
| | $0 |
| 11-04114 | 01/31/2013 | Claimant(s): Beverly McDevitt
Claimant Lawyers(s): Beverly E. McDevitt
Respondent(s): Wells Fargo Advisors, Richard Pratt
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frederic E. Dorkin, Lawrence E. Little, Gideon Daniel Caron
Hearing Site: Seattle, WA
| | $0 |
