| 08-04776 | 11/10/2011 | Claimant(s): Dudley Pepp
Claimant Lawyers(s): Michael St. Denis
Respondent(s): Bertrand Ginsberg, Russell Grossman, Sandra Morelli, Alliancebernstein Investments., Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Erik R. Siering, Robert E. Lawson, Robert Edward Koondel
Hearing Site: Los Angeles, CA
|  | $0 |
| 10-02944 | 11/10/2011 | Claimant(s): John Trani
Claimant Lawyers(s): Jeremy A. Mellitz
Respondent(s): Brad Zeisse, Michael Kramer, B. C. Ziegler and Company
Respondent Lawyers(s): Jonathan W. Hackbarth
Arbitrator(s): Richard Slavin, Lawrence S. Brick, Thomas J. Donoghue
Hearing Site: Hartford, CT
| | $0 |
| 10-01317 | 11/09/2011 | Claimant(s): Jose G. Flores & Gladys Aponte
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Carlos Pou, Jeffrey Lopez, UBS Financial Services Inc., BBVA Securities Of Puerto Rico., UBS Financial Services Inc of PR
Respondent Lawyers(s): Anibal Lugo-Miranda, Debra A. Jenks, Roberto C. Quinones-Rivera
Arbitrator(s): Robert H. Hagan, Nancy J. Cliff, Todd M. Saunders
Hearing Site: San Juan, PR
| | Expungement |
| 10-05371 | 11/09/2011 | Claimant(s): Judith Schmitt
Claimant Lawyers(s): Christopher McHallam
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Christopher P. Litterio
Arbitrator(s): Arthur J. Giacomarra, William I. Carmen, Susan Largay
Hearing Site: Boston, MA
| | $0 |
| 10-03879 | 11/08/2011 | Claimant(s): Martin Kupferberg and Dora Kupferberg
Claimant Lawyers(s): Timothy Feil
Respondent(s): Edward Scro, Alternative Wealth Strategies., Seniors Resource
Respondent Lawyers(s): Edward Scro, James C. Gaul
Arbitrator(s): Martin Mushkin, Mark Hammaren, John Michael Richardson
Hearing Site: New York, NY
| | $70,300 |
| 09-06930 | 11/08/2011 | Claimant(s): Patsy Potter
Claimant Lawyers(s): John J. Miller
Respondent(s): Brent McCune, Sagepoint Financial., Randall Coble, Mutual Service Corporation
Respondent Lawyers(s): David J. Freniere, Greg Curley
Arbitrator(s): Lonnie L. Cunningham, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
| | $0 |
| 10-02770 | 11/08/2011 | Claimant(s): Lois Reed, Lois W. Reed Trust
Claimant Lawyers(s): Andrew M. Holford
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Gregory G. Wille
Arbitrator(s): Benjamin B. Segel, Thomas R. Skulina, Mary Ten Eyck Taylor
Hearing Site: Columbus, OH
| | $0 |
| 09-06530 | 11/07/2011 | Claimant(s): Kenji Higuchi
Claimant Lawyers(s): Madelyn R. Shulman
Respondent(s): William Heiden
Respondent Lawyers(s): William David Heiden
Arbitrator(s): Jeffrey P. Bachmann, Walter M. Schackman, Andrew J. Gerber
Hearing Site: New York, NY
| | $400,000 |
| 10-01534 | 11/07/2011 | Claimant(s): Connie Janousek
Claimant Lawyers(s): Richard L. Bolton
Respondent(s): Christopher Ayer, Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): P. J. Boylan, Roy Clyde George, Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $36,775 |
| 10-01664 | 11/07/2011 | Claimant(s): Bruce Ballinger, Charles Davis, Doug Hammond, Joan Lerner, Judy Vincent, Lola Stanley, Michael Wei, Michelle Caforio, Robyn Hendershot, Sandra Davis, Sandra Foster, Sanford Lerner, Stephen Vail, Steven Ruby, Susan Ballinger, Susan Friede, Susan Hammond
Claimant Lawyers(s): Steven M. Feder
Respondent(s): Jeremy Hart, Evolve Securities.
Respondent Lawyers(s): Jeremy M. Hart, Scot Lenior
Arbitrator(s): Arthur E. Otten, Lawrence Douglas Brookes, David L. Erickson
Hearing Site: Denver, CO
| | $2,168,380 |
