| 12-02116 | 10/31/2013 | Claimant(s): Richard Silver
Claimant Lawyers(s): John D. Singer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kenneth Ashton
Arbitrator(s): Glen R. Stifelman, Eugene G. P. Byrne, Roger L Gavan
Hearing Site: New York, NY
| | $0 |
| 13-01555 | 10/30/2013 | Claimant(s): Philip Deng
Claimant Lawyers(s): Philip Y. Deng
Respondent(s): optionsXpress.
Respondent Lawyers(s): Joseph L. Siders
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: New York, NY
|  | $88 |
| 12-01882 | 10/29/2013 | Claimant(s): Deanna Shanab, Paul Shanab
Claimant Lawyers(s): David W. Sparrow
Respondent(s): Sandgrain Securities LLC
Respondent Lawyers(s): Anna Pia D. Nicolas
Arbitrator(s): Leonard M. Bakal, Abigail J. Pessen, Regina Irena Arnold Mullen
Hearing Site: New York, NY
| | $91,105 |
| 12-04247 | 10/24/2013 | Claimant(s): Ben Brissi
Claimant Lawyers(s): Ben B. Brissi
Respondent(s): Bradley Reifler, Christopher Engel, David Wasitowski, Forefront Capital Management, Forefront Capital Markets LLC, Forefront Management Group
Respondent Lawyers(s): Carolina Reynolds
Arbitrator(s): Jettie K. Thomas
Hearing Site: New York, NY
| | $0 |
| 10-05421 | 10/21/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Barry Ganz, Mark Seruya, Russell Ganz, Stephen Ackerman
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): Thomas E. Duggan, David I. Goldblatt, Mary Lou McGanney
Hearing Site: New York, NY
| | $0 |
| 13-02445 | 10/18/2013 | Claimant(s): Richard Gabay
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Obsidian Financial Group
Respondent Lawyers(s): Kevin Sharma
Arbitrator(s): Carolyn A. Mann
Hearing Site: New York, NY
| | $217,000 |
| 13-00338 | 10/17/2013 | Claimant(s): John Ivarone
Claimant Lawyers(s): John Ivarone
Respondent(s): Rochdale Securities LLC
Respondent Lawyers(s): Christopher J. Major
Arbitrator(s): Hugh N. Fryer
Hearing Site: New York, NY
| | $0 |
| 12-02707 | 10/16/2013 | Claimant(s): Christina Brancati
Claimant Lawyers(s): Marc Fitapelli
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stefanie M. Wayco
Arbitrator(s): Fred S. Pieroni, Pamela H. Roderick, Harrison Johnson
Hearing Site: New York, NY
| | $0 |
| 12-03571 | 10/15/2013 | Claimant(s): Isolde Cooper, George Cooper Irrevocable Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Brian Redican, Citigroup Global Markets.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Barnard Seligman, John Daly, Richard Bryce Nesson
Hearing Site: New York, NY
| | $0 |
| 13-01043 | 10/14/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Montague Henry
Respondent Lawyers(s): Montague Stephan Henry
Arbitrator(s): Christine Moore
Hearing Site: New York, NY
| | $0 |
