| 11-00753 | 06/15/2012 | Claimant(s): William Heinzerling
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Matthew C. Plant
Arbitrator(s): Romaine L. Gardner, Abigail J. Pessen, Maya Steinitz
Hearing Site: New York, NY
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| 11-01126 | 06/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D Weinreich
Respondent(s): Edgar Ramirez, Rene Joliot, Romel Rodriguez
Respondent Lawyers(s): Margaret E. Peper
Arbitrator(s): Barbara J. Glenns, Romaine L. Gardner, Lynne M. Reid-McQueen
Hearing Site: New York, NY
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| 11-03602 | 04/24/2012 | Claimant(s): Frank Monte
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Silva Velez
Respondent Lawyers(s): Silva Alexander Velez
Arbitrator(s): Romaine L. Gardner
Hearing Site: New York, NY
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| 10-01021 | 03/06/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): James Kingsbury
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Romaine L. Gardner, Jack Friedman, Christine Costigan
Hearing Site: New York, NY
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| 09-06485 | 05/17/2011 | Claimant(s): Matthew Scoble
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Blaylock & Partners, L.P.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Romaine L. Gardner, Preston V. Pumphrey, Sheryl-Anne Sastow
Hearing Site: New York, NY
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| 09-06657 | 04/04/2011 | Claimant(s): Leslie Katz
Claimant Lawyers(s): Alex Gardner
Respondent(s): Citigroup Global Markets., Marvin Lerman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Robert Manfredo, Romaine L. Gardner, Bernard Korman
Hearing Site: New York, NY
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| 09-05369 | 02/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Dennis Briscoe
Respondent Lawyers(s): Dennis B. Briscoe
Arbitrator(s): Stanley F. Meyerson, Romaine L. Gardner, Royce Russell
Hearing Site: New York, NY
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| 09-05533 | 11/04/2010 | Claimant(s): Thomas Vandeventer
Claimant Lawyers(s): James A. Bradley
Respondent(s): Clearbridge Advisors, Legg Mason Investor Services
Respondent Lawyers(s): Dana N. Pescosolido
Arbitrator(s): Romaine L. Gardner, Martin Hunger, Nancy Kramer
Hearing Site: New York, NY
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| 06-04643 | 08/26/2010 | Claimant(s): Edward Rubin, John Borer, Michael Vasinkevich, Wesley Clark, Rodman & Renshaw.
Claimant Lawyers(s): Natalie Shkolnik
Respondent(s): Matthew Murray
Respondent Lawyers(s): David J. Katz
Arbitrator(s): Romaine L. Gardner, Andrew E. Reegen, Aaron Friedman
Hearing Site: New York, NY
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| 08-03749 | 03/05/2010 | Claimant(s): Gilbert Millstein
Claimant Lawyers(s): Michael A. Korn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Romaine L. Gardner, Arnold Wagner, Tibor C. Klein
Hearing Site: New York, NY
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