| 10-01540 | 08/07/2012 | Claimant(s): Catherine Logiudice, Estate Account of Patrick Logiudice, The Estate of Patrick J. Logiudice, Patrick Logiudice IRA
Claimant Lawyers(s): Douglas A. Cho
Respondent(s): Stifel, Nicolaus & Co.., Frederick Mueller
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Paul T. Green, Francis J. Pavetti, Michael D. Grant
Hearing Site: Hartford, CT
|  | $0 |
| 11-01891 | 08/07/2012 | Claimant(s): Deephaven Distressed Opportunities, Deephaven Event Trading, Ltd, MA Deep Event
Claimant Lawyers(s): Don Abraham
Respondent(s): Imperial Capital
Respondent Lawyers(s): Jeffrey R. Wang
Arbitrator(s): Stuart Rothenstein, Leona Beane, Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 11-01561 | 08/06/2012 | Claimant(s): Daniel Hobart, Daniel James Hobart Rollover IRA
Claimant Lawyers(s): Jason D. Doss
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Patrick R. Mahoney
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
| | Expungement |
| 11-01582 | 08/06/2012 | Claimant(s): Shirley Edwards
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): R.W. Towt & Associates
Respondent Lawyers(s): Raymond Prazen
Arbitrator(s): Larry Haugaard, Thomas A. Culbertson, Robert Rosen
Hearing Site: Los Angeles, CA
| | $135,000 |
| 11-03337 | 08/06/2012 | Claimant(s): Matthias Hong
Claimant Lawyers(s): Matthias Hong
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Bradford Jacobowitz
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
| | $163 |
| 12-00097 | 08/03/2012 | Claimant(s): Tom Moss
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Thomas F. Barnett
Arbitrator(s): Peter M Brabbee
Hearing Site: Memphis, TN
| | $425 |
| 10-00481 | 08/02/2012 | Claimant(s): Michael Aberlich, Patricia Aberlich, Michael Aberlich IRA, Patricia Aberlich IRA
Claimant Lawyers(s): Dennis K. Egan
Respondent(s): Anthony Manaia, Intervest International Equities Corpora, Manaia Capital Management.
Respondent Lawyers(s): Anthony G. Manaia, Joseph D. Carney
Arbitrator(s): Timothy J. Currier, Matthew H. Turnbull, Raymond J. Sterling
Hearing Site: Detroit, MI
| | $727,290 |
| 09-07132 | 08/02/2012 | Claimant(s): Daniel Violette, Daniel M. Violette IRA Rollover
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Steven Meyrich, Marc H. Schtul, Edward Allan Hindman
Hearing Site: Denver, CO
| | Expungement |
| 11-00726 | 08/02/2012 | Claimant(s): Janice Warfel, William Warfel, Antietam Industries.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Robert E. Thompson, Robert L. Chisolm, Christopher L. Mass
Hearing Site: Orlando, FL
| | $233,035 |
| 11-03440 | 08/02/2012 | Claimant(s): Bogumila Combs-Nichols, Patrick Nichols
Claimant Lawyers(s): Jack J. Mazzara
Respondent(s): Thomas Norris, NFI Advisors., Norris Financial.
Respondent Lawyers(s): Joseph H. Spiegel
Arbitrator(s): Kenneth J. Safran
Hearing Site: Detroit, MI
| | Expungement |
