| 11-04371 | 09/18/2013 | Claimant(s): Gary Burgess
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Ira Rosenstein
Arbitrator(s): Daniel R. Formeller, David M. Zimberoff, Harvey R. Herman
Hearing Site: Chicago, IL
| | |
| 09-07182 | 09/11/2013 | Claimant(s): Bernard Reznick, Betty Feurring, Brian Schmier, Brian Wynn, Bruce Bartley, Charles Marqusee, Douglas Feurring, Ellen Schmier, Emily Feurring, Helga Marqusee, Jamie Rosemurgy, Linda Schmier, Michal Utterback, Robert Schmier, Ross Feurring, Sam Lee, Sonya Utterback, Feurring Family Limited Partnership, 3 Schmiers Investment Trust LLC, Douglas R. Feurring Revocable Trust, et al
Claimant Lawyers(s): Gary A. Praglin
Respondent(s): Bruce Treitman, Christopher Frank, Deutsche Bank Securities., Henry Persons, Jon Javellana, Kenneth Ro
Respondent Lawyers(s): Jason R. Lindsay, Mark Parmelee, Paul J. Schumacher, Toby Soli, William D. Briendel
Arbitrator(s): James R. Duncan, Neil S. Jasper, Ralph B. Perry
Hearing Site: Los Angeles, CA
|  | $180,000 |
| 12-00888 | 08/13/2013 | Claimant(s): Kim Timmins
Claimant Lawyers(s): Pamela Aurelien
Respondent(s): Deutsche Bank Securities., Mario Saljanin
Respondent Lawyers(s): Karen M. Steel
Arbitrator(s): Denzil J. Klippel, Alfonso G. Figliolia, Mary Ellen Burns
Hearing Site: New York, NY
| | |
| 11-00469 | 07/22/2013 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Trevor Rahn
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Alan Stamm, Gary Timothy Haight, Dean Schneider
Hearing Site: Los Angeles, CA
| | |
| 11-04540 | 06/05/2013 | Claimant(s): Harry Jaffe
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Edward Baer, Martin H. Zern, Cheryl H. Agris
Hearing Site: New York, NY
| | |
| 12-03171 | 06/03/2013 | Claimant(s): Mark Klopfenstein, Molly Klopfenstein, TranStar Capital Ventures LLC
Claimant Lawyers(s): Robert K. Crowe
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Harry G. Mason, Robert A. Dean, Osei J Adoma
Hearing Site: Atlanta, GA
| | Dismissed by Rule 12206/12504 |
| 11-00119 | 05/08/2013 | Claimant(s): Jason Roth
Claimant Lawyers(s): David Marek
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Cliff Fonstein
Arbitrator(s): Romaine L. Gardner, Stewart E. Winner, Christine Moore
Hearing Site: New York, NY
| | |
| 11-00581 | 02/12/2013 | Claimant(s): Thomas Lynch
Claimant Lawyers(s): Carmelyn Malalis
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Charles P. Axelrod, John Daly, Adam M. Kauff
Hearing Site: New York, NY
| | |
| 11-02623 | 02/12/2013 | Claimant(s): Michael Myers, Susan Myers, Michael F. Myers MA Trust dtd 10/23/08, Michael F. Myers MA Trust dtd 12/3/08, Susan K. Myers Living Trust dtd 1/8/01, Susan Myers MA Trust dtd 7/11/08
Claimant Lawyers(s): Charles N. Freiberg
Respondent(s): Deutsche Bank Securities., Oppenheimer & Co.., Karl Hahn
Respondent Lawyers(s): Allan N. Taffet, Karl E. Hahn, Philip A. McLeod
Arbitrator(s): Linda M. Deola, Jonathan H. Krotinger, Susan J. Alexander
Hearing Site: San Francisco, CA
| | $934,193 |
| 10-04743 | 02/06/2013 | Claimant(s): Schultze Asset Management, Schultze Master Fund, Ltd
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Sandra Gale Behrle, David I. Goldblatt, Alan Gradzki
Hearing Site: New York, NY
| | $0 |
