| 12-00768 | 01/18/2013 | Claimant(s): Lillian D'Elia
Claimant Lawyers(s): Lillian D'Elia
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
|  | $0 |
| 09-05596 | 01/17/2013 | Claimant(s): Lloyd Gillespie
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Oppenheimer & Co.., Joshua Barg, Aegis Capital Corp.
Respondent Lawyers(s): Andrew R. Harvin, Michael H. Ference, Ted Poretz
Arbitrator(s): Donald K. Eckhardt, James M. Alexander, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $1,074,600 |
| 11-02794 | 01/17/2013 | Claimant(s): Inversiones Kaizen Ltd.
Claimant Lawyers(s): Jeffrey B Kaplan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): John J. Hearn, Jeffrey R. Roth, Stanley Zamor
Hearing Site: Miami, FL
| | $0 |
| 11-03939 | 01/17/2013 | Claimant(s): Sylvia Nachtigall
Claimant Lawyers(s): Barry E Janay
Respondent(s): Christopher Cerniglia, Stifel, Nicolaus & Co..
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Micalyn S. Harris, Leslie Ruth Nydick, Brian J. Strum
Hearing Site: Newark, NJ
| | $0 |
| 12-00859 | 01/17/2013 | Claimant(s): Anna Manzo, Francis Manzo, Francis M & Anna Marie Manzo Fam Trst, P. Manzo & W. Manzo Living Trust
Claimant Lawyers(s): Kristian P. Kraszewiski
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Esther E. Cho
Arbitrator(s): Randall W Heinrich, Richard F. Dole, Michael L. Landrum
Hearing Site: Houston, TX
| | $0 |
| 10-03899 | 01/17/2013 | Claimant(s): Jerry Jochims, Linda Govern, Rick Govern, Winton Boyd
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Thomas Berthel, Berthel, Fisher & Co. Financial Services
Respondent Lawyers(s): Vincent D. Louwagie
Arbitrator(s): Roger D. Johnson, Stephen C. Esposito, James H. Colburn
Hearing Site: Des Moines, IA
| | $0 |
| 12-01002 | 01/17/2013 | Claimant(s): Diane Miller, Ilene Willsey, Kathleen Schwab, Skoff North Park II LLC, Skoff Olympic Gateway Parkway LLC, Skoff Sunriver LLC, Skoff-One Hanover, Estate of Ray Skoff, Ray Skoff Trust
Claimant Lawyers(s): David I. Lefkowitz
Respondent(s): Sentra Securities Corporation
Respondent Lawyers(s): Greg Curley
Arbitrator(s): Harvey C. Flodin, Nancy J. Spieczny, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 10-02726 | 01/16/2013 | Claimant(s): Megan Steel, Keith M. Steel and Anpei Lin, Community
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Richard B. Bullock, Jonathan H. Krotinger, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
| 11-00687 | 01/16/2013 | Claimant(s): Kenneth M. Mahoney & Linda Mahoney, TIC
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Marc S. Piven, Myron E. Levenson, Robert H. Loevin
Hearing Site: Boca Raton, FL
| | $0 |
| 11-00600 | 01/16/2013 | Claimant(s): Melvyn M. Heller Rollover IRA
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $0 |
