| 12-02177 | 12/26/2012 | Claimant(s): Luis Felipe
Claimant Lawyers(s): Luis M Felipe
Respondent(s): Citi International Financial Services
Respondent Lawyers(s): Jonathan Cohen
Arbitrator(s): Barth Satuloff, Elena G. Rodriguez, Richard K. Hrebik
Hearing Site: San Juan, PR
|  | $0 |
| 11-02825 | 12/24/2012 | Claimant(s): Manfred Muell
Claimant Lawyers(s): John S. Burke
Respondent(s): Wayne Hummer Investments L.L.C.
Respondent Lawyers(s): Michael J. Waters
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 11-00986 | 12/21/2012 | Claimant(s): Mansour Matloob, Mansour Matloob Trust dtd 10/08/2002
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): John Marshall, RBC Capital Markets LLC
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Ralph B. Perry, Peter J Cohen, Gregory Douglas Stone
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02566 | 12/21/2012 | Claimant(s): Idelji Corporation Defined Benefit Pensi, Khodyayar Family Trust DTD 5-12-05, By I
Claimant Lawyers(s): Edward H Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC Montgomery
Arbitrator(s): Arthur F. Brueggeman, Joyce L. Hurley, Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03504 | 12/21/2012 | Claimant(s): Awilda Vilches Reyes
Claimant Lawyers(s): Scott L. Silver
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Nancy J. Cliff, Bernard A. Becker, Fred Abramoff
Hearing Site: San Juan, PR
| | Expungement |
| 11-03507 | 12/21/2012 | Claimant(s): Joan R. Stiles Trust u/a dtd 2/28/1991, William H. Stiles Trust u/a dtd 2/28/91
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): Richard S. Zaifert, Bruce K. Isenberg, Harold S. Stern
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-04023 | 12/21/2012 | Claimant(s): Peter Zervos
Claimant Lawyers(s): Randall C. Place
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel M. Everest
Arbitrator(s): Bruce W. Bennett
Hearing Site: Columbia, SC
| | Expungement |
| 11-04256 | 12/21/2012 | Claimant(s): Joseph Pappy
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Scott David Anton
Hearing Site: Tampa, FL
| | $47,366 |
| 12-00604 | 12/21/2012 | Claimant(s): Louise Leon
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Dale Grubb, Morgan Stanley & Co.
Respondent Lawyers(s): Debra Achkire
Arbitrator(s): Robin Lynn Berry
Hearing Site: San Francisco, CA
| | Expungement |
| 12-02390 | 12/21/2012 | Claimant(s): A.J. Land, Kathy Land
Claimant Lawyers(s): A.J. Land
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Paul Mullen
Respondent Lawyers(s): Jill Del Monico
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
| | $0 |
