| 11-04821 | 11/21/2012 | Claimant(s): James Leiphardt, Peggy Leiphardt
Claimant Lawyers(s): Eric A. Woosley
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kamao C. Shaw
Arbitrator(s): Nancy G. Harris
Hearing Site: Los Angeles, CA
|  | $50,000 |
| 10-05599 | 11/20/2012 | Claimant(s): Victor Graulau Colon, Victor Graulau Muenchow
Claimant Lawyers(s): Scott L Silver
Respondent(s): Popular Securities.
Respondent Lawyers(s): Roberto Quinones-Rivera
Arbitrator(s): Steven R. Reininger, Reinaldo Royo, Jeffrey R. Roth
Hearing Site: San Juan, PR
| | Expungement |
| 11-01943 | 11/20/2012 | Claimant(s): William Otto, William L. Otto Irrevocable Lifetime Tru
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Joseph Gill, Lore Gordon, MML Investors Services
Respondent Lawyers(s): Barry R. Temkin, Mathew Tracy, William P. Thornton
Arbitrator(s): Steven David Leader, Leslie Ruth Nydick, Edwin H. Bennett
Hearing Site: New York, NY
| | Expungement |
| 11-02536 | 11/20/2012 | Claimant(s): Martha Rudnick
Claimant Lawyers(s): Gary Menzer
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Saly Glassman
Respondent Lawyers(s): Matthew E. Wolper
Arbitrator(s): John E. Sutton, Harold S. Stern, Peter A. Portley
Hearing Site: Boca Raton, FL
| | Expungement |
| 11-03818 | 11/20/2012 | Claimant(s): George Beard
Claimant Lawyers(s): J. Zachary Zatezalo
Respondent(s): Carrie Bowman, Janney Montgomery Scott LLC
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Mark K. Gubinsky, John T. Meredith, G. Daniel Carney
Hearing Site: Pittsburgh, PA
| | Expungement |
| 12-00384 | 11/20/2012 | Claimant(s): Justin Paperny
Claimant Lawyers(s): Brian D Boydston
Respondent(s): Christine Kreps, Damon Johnson, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David Maurer, Eric A. Herzog
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02643 | 11/20/2012 | Claimant(s): Martin Leibowitz
Claimant Lawyers(s): Joseph D. Carney
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Robert Rapp, Kathleen P. Helbig-Hannan, Robert M Lustig
Hearing Site: Cleveland, OH
| | $0 |
| 11-04125 | 11/20/2012 | Claimant(s): Matt Correia, Dapelo & Correia Capital Investors
Claimant Lawyers(s): Matt Correia
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Robert W. Topp
Arbitrator(s): Alan Stamm, Theodore G. Bradpiece, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 11-04397 | 11/20/2012 | Claimant(s): Heidi S. Vescio Living Trust
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Scott Cavey
Respondent Lawyers(s): J. Scott Paul
Arbitrator(s): George A. Abbott
Hearing Site: Omaha, NE
| | $0 |
| 11-04410 | 11/20/2012 | Claimant(s): Chris Stovic
Claimant Lawyers(s): Chris Stovic
Respondent(s): Christopher Gent, Christopher O'Meara, Henry Kaufman, John Akers, John Macomber, Marsha Evans, Michael Anslie, Richard Fuld, Roger Berlind, Roland Hernandez, Thomas Cruikshank
Respondent Lawyers(s): Joshua Klein, Kathleen N. Massey, Todd S. Fishman
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Pittsburgh, PA
| | $325 |
