| 10-01501 | 01/31/2013 | Claimant(s): Adela Pena, Connie Johnson, Karrell Wood, Lauro Pena, Philip Ashburn, William Percy
Claimant Lawyers(s): Melinda Jane Steuer, Scott R. Shewan
Respondent(s): Sagepoint Financial., Sharon Kearney
Respondent Lawyers(s): Dennis J. Kelly, Mark J. Hancock
Arbitrator(s): William Ziering, Carl B. Noelke, Mario Singleton
Hearing Site: San Francisco, CA
|  | $0 |
| 11-02856 | 01/31/2013 | Claimant(s): Phillip Korff
Claimant Lawyers(s): Eliot Goldstein
Respondent(s): The Investment Center.
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Mona Koppel Mitnick, Christopher M. McMurray, David Paul Clark
Hearing Site: Washington, DC
| | $0 |
| 11-04735 | 01/31/2013 | Claimant(s): Flora Tisherman, Sanford Tisherman, Flora J. Tisherman IRA, Sanford A. Tisherman IRA
Claimant Lawyers(s): Glenn J. Campbell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch & Co..
Respondent Lawyers(s): Spencer S. Persson
Arbitrator(s): Daniel David Kopman, Janice A. Salter, Stephen Laughlin Eddy
Hearing Site: Los Angeles, CA
| | $300 |
| 12-01631 | 01/31/2013 | Claimant(s): Daniel Mytels
Claimant Lawyers(s): Daniel R. Mytels
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
| | $0 |
| 09-00878 | 01/30/2013 | Claimant(s): US Airways.
Claimant Lawyers(s): Robert W. Henoch
Respondent(s): Oppenheimer & Co.., Vincent Woo
Respondent Lawyers(s): Suzan Jo, Thomas J. Hennessey
Arbitrator(s): Catherine I. Gulevich, James S. Hazard, Ellyn S. Roth
Hearing Site: New York, NY
| | $30,000,000 |
| 11-01193 | 01/30/2013 | Claimant(s): Lynda Haskins
Claimant Lawyers(s): Michael Hill
Respondent(s): Francis Ford, Citigroup Global Markets., Julia Dotterer, Morgan Stanley
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Alan L. Berger
Hearing Site: Columbia, SC
| | $0 |
| 11-01646 | 01/30/2013 | Claimant(s): Abby Vander Linden, Christopher Vander Linden, Donna Vander Linden, Leon Linden, Todd Linder Linden, Tricia Vander Linden
Claimant Lawyers(s): Fred Coats
Respondent(s): Billy Markve
Respondent Lawyers(s): Rodney K. Vincent
Arbitrator(s): James A. Lundberg, Lawrence R. Commers
Hearing Site: Minneapolis, MN
| | $0 |
| 11-03627 | 01/30/2013 | Claimant(s): Alessandrina Deprizio, Carmela DiMare, Florence DiMare, Wilton Manor, Ltd.
Claimant Lawyers(s): Robert L. Gonser
Respondent(s): Securities America., Thomas Reynolds
Respondent Lawyers(s): Chad Weaver, Sandor Grossman
Arbitrator(s): Sheldon I. Saitlin, Woodrow A. Sutton, Theresa A Gillerlain
Hearing Site: Chicago, IL
| | $0 |
| 09-07047 | 01/29/2013 | Claimant(s): Louis Pitch and Donna Pitch
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Alida D. Camp, Jerome M Shafer, Scott W. Mulford
Hearing Site: New York, NY
| | $2,450,000 |
| 12-01112 | 01/29/2013 | Claimant(s): William Cleino
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas Barnett
Arbitrator(s): Lawrence R. Maxwell
Hearing Site: Birmingham, AL
| | $0 |
