| 12-03577 | 12/27/2013 | Claimant(s): Estate of Paul Cheng
Claimant Lawyers(s): Paul E. Kerson
Respondent(s): Keith Fasano, Emmett A Larkin Company., DPEC Capital., Investprivate.Com.
Respondent Lawyers(s): Eric S. Hutner, Gordon Hing
Arbitrator(s): Theodore Moreines, Robert E. Anderson, Joseph H. Cerame
Hearing Site: New York, NY
|  | $0 |
| 12-00961 | 12/20/2013 | Claimant(s): Clocktower Tax Credits LLC, Northeast Securities.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Vert Investment Group, Vert Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 12-02380 | 12/20/2013 | Claimant(s): Devis Zgrinskic
Claimant Lawyers(s): David Hirschberg
Respondent(s): Joseph DiMauro, Clark Dodge & Co..
Respondent Lawyers(s): Frank J. Franzino
Arbitrator(s): J. Julie Jason, Keely D. Parr, Richard Gee
Hearing Site: New York, NY
| | $0 |
| 12-00813 | 12/20/2013 | Claimant(s): Gary Moye, Joel Vanblerkom
Claimant Lawyers(s): August M. Lorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William Montgomery
Arbitrator(s): Bernard A. Friedman, Mary Lou McGanney, John Caracciolo
Hearing Site: New York, NY
| | $0 |
| 12-00291 | 12/19/2013 | Claimant(s): Anita Apt, Estate of Nellie Apt, The Nellie Apt Revocable Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Shelley Teitelbaum, Peter A. Goldman, Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 11-04582 | 12/18/2013 | Claimant(s): Steven Oberdorfer
Claimant Lawyers(s): Aaron M. Goldsmith
Respondent(s): Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Inc., Todd And Company.
Respondent Lawyers(s): Compliance Officer, Ronald Moschetta
Arbitrator(s): John Daly, Amy Y. Moy, David John Reilly
Hearing Site: New York, NY
| | $100,000 |
| 13-01196 | 12/16/2013 | Claimant(s): Joseph Vencil
Claimant Lawyers(s): Joseph William Vencil
Respondent(s): Lampert Capital Markets Inc.
Respondent Lawyers(s): Harry W. Lipman
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | $0 |
| 09-05042 | 12/12/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Robert Loftus
Respondent Lawyers(s): Jeffrey L. Liddle
Arbitrator(s): Hugh N. Fryer, Joseph A. Forgione, Kenneth Paul Williams
Hearing Site: New York, NY
| | $0 |
| 10-01969 | 12/09/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Robert Giusti
Respondent Lawyers(s): Robert Giusti
Arbitrator(s): Joseph J. Arata, Paul Kanischak, Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 13-01254 | 12/06/2013 | Claimant(s): Benjamin C. Ritter Jr and Nina Ritter JT
Claimant Lawyers(s): John L. Allen
Respondent(s): Anne Gagnon, Wells Fargo Securities Inc., Wells Fargo Advisors Financial Network, Wells Fargo Advisors, David Rosenberg, Wells Fargo Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Robert E. Anderson, Joseph I. Liebman, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
