| 11-04358 | 07/06/2012 | Claimant(s): David Lines
Claimant Lawyers(s): David Ted Lines
Respondent(s): Arthur Coffey, John Thomas Financial
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): David Buch
Hearing Site: Syracuse, NY
|  | $63 |
| 11-04551 | 07/06/2012 | Claimant(s): Ning Hu
Claimant Lawyers(s): Ning Hu
Respondent(s): Leo Chien
Respondent Lawyers(s): Leo Li-yuan Chien
Arbitrator(s): Victoria E. Johnson
Hearing Site: Los Angeles, CA
| | $33 |
| 11-01927 | 07/05/2012 | Claimant(s): Richard Degnars
Claimant Lawyers(s): Kevin D Galbraith
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kenneth Ashton
Arbitrator(s): John A. Gray, Armand Philip Lione, Ying Zhou
Hearing Site: Wilmington, DE
| | Expungement |
| 10-04834 | 07/05/2012 | Claimant(s): Tushar Patel
Claimant Lawyers(s): Elisa M. Pollard
Respondent(s): optionsXpress.
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Arnold M. Marrow, Evalyn Lipton Fishbein, Christine R. Fitzgerald
Hearing Site: Providence, RI
| | $0 |
| 10-04868 | 07/05/2012 | Claimant(s): SCO Capital Partners LLC
Claimant Lawyers(s): David H. Wollmuth
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Brett D. Jaffe
Arbitrator(s): Cynthia A. DiMarco, Benjamin L. Anderson, Thomas A. Abitabile
Hearing Site: New York, NY
| | $0 |
| 11-00748 | 07/05/2012 | Claimant(s): Theresa Falzarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Carol Corbett, John James McGovern, Edward Charles Mengel
Hearing Site: Philadelphia, PA
| | $0 |
| 11-01040 | 07/05/2012 | Claimant(s): James N. Vangilder Revocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Gerald Cohen, Julius Z. Frager, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | $0 |
| 11-00605 | 07/03/2012 | Claimant(s): Alexander Schernecke
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Wells Fargo Advisors, Jamie Baraldi, UBS Financial Services Inc.
Respondent Lawyers(s): Angela A. Turiano, Brian A. Carlis, Edward W. Larkin
Arbitrator(s): Sheldon Seligsohn, Jerry Schuchman, Frank P. Santangelo
Hearing Site: Philadelphia, PA
| | Expungement |
| 11-03816 | 07/03/2012 | Claimant(s): Catherine Gibson
Claimant Lawyers(s): Gene Mitchell
Respondent(s): Kovack Securities Inc.
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Roy B. Gonas, George H. Rausch, Marcy R. Greer
Hearing Site: Miami, FL
| | $50,250 |
| 10-04784 | 07/03/2012 | Claimant(s): Stavros Oscar Cid and Teresa Cid JTWROS, Teresa Cid JTWROS
Claimant Lawyers(s): Robert Giusti
Respondent(s): Citigroup Global Markets., John Abadiotakis
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Steven A. Infante, Benjamin L. Anderson
Hearing Site: New York, NY
| | $0 |
