| 13-00484 | 11/22/2013 | Claimant(s): Scherock Holding LLC, Leonard J. Scherock Revocable Trust
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): Axiom Capital Management.
Respondent Lawyers(s): Theodore A. Krebsbach
Arbitrator(s): Matthew Loguercio, Stephen A. Weiner, Thomas E. Mehrtens
Hearing Site: New York, NY
|  | $0 |
| 12-01666 | 11/22/2013 | Claimant(s): Mary Georgiade
Claimant Lawyers(s): Brian R. Williams
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $0 |
| 12-03312 | 11/22/2013 | Claimant(s): Cynthia Shaw
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Polina M. Dostalik
Arbitrator(s): Richard W. Cutler, Sandra J. Mullings, David Serko
Hearing Site: New York, NY
| | $600 |
| 12-04321 | 11/21/2013 | Claimant(s): Brandon Dunn, Craig Bonder, Michael Glover
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Daniel Crowley, Rochdale Securities LLC
Respondent Lawyers(s): Christopher J. Major
Arbitrator(s): Paul J. Camilleri, Peter A. Goldman, Joseph I. Liebman
Hearing Site: New York, NY
| | $0 |
| 12-00451 | 11/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Daniel Masiello, Mary Baranowski-Gallo, Philip Pursino
Respondent Lawyers(s): Edward B. Magarian, James E. Heavey, Philip Pursino
Arbitrator(s): Michael Ross, Martin A. Edelstein, Marianne C. Hussey
Hearing Site: New York, NY
| | $0 |
| 13-00337 | 11/15/2013 | Claimant(s): Dong Lee
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Theodore O. Rogers
Arbitrator(s): Martin Jay Siegel, Walter Michael Mathews, Joanne Basso Mack
Hearing Site: New York, NY
| | $0 |
| 13-01694 | 11/15/2013 | Claimant(s): Petr Berka
Claimant Lawyers(s): Petr Berka
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde Hoffman
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 12-03469 | 11/07/2013 | Claimant(s): Leslie Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Richard W. Cutler
Hearing Site: New York, NY
| | $600 |
| 13-00066 | 11/05/2013 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Thomas Pfeiffer
Respondent Lawyers(s): Thomas Steven Pfeiffer
Arbitrator(s): Edward Baer, Allen H. Green, Carolyn A. Mann
Hearing Site: New York, NY
| | $0 |
| 13-00908 | 11/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jacob Aschkenasy
Hearing Site: New York, NY
| | $0 |
