| 11-04681 | 09/18/2013 | Claimant(s): Roger Davidson, Redwood F Trust, Redwood II F Trust, FBO Naomi Davidson, FBO William Davidson, Redwood II Trust, Robin II Trust, Roger C. Davidson Revocable Trust
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nikolas S. Komyati
Arbitrator(s): Romaine L. Gardner, Sandra J. Mullings, Joan Marie Chiusano
Hearing Site: New York, NY
|  | $0 |
| 12-01263 | 09/17/2013 | Claimant(s): Richard Bensoussan
Claimant Lawyers(s): Elizabeth Anne Musella
Respondent(s): John Fay, Laurent Cunin, Newedge USA
Respondent Lawyers(s): Mark R. Zancolli
Arbitrator(s): Eugene G. P. Byrne, Daniel Adam Schlein, Joseph Louis Sherman
Hearing Site: New York, NY
| | $0 |
| 11-02277 | 09/12/2013 | Claimant(s): Manuel Estrada
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Jean-Louis Bertholet
Respondent Lawyers(s): Jean Louis Bertholet
Arbitrator(s): Marianne C. Hussey
Hearing Site: New York, NY
| | $117,080 |
| 12-01960 | 09/10/2013 | Claimant(s): Samuel Lombardo
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): The Prudential Insurance Company Of Amer
Respondent Lawyers(s): Robin H. Rome
Arbitrator(s): Michael A. Ruderman
Hearing Site: New York, NY
| | $0 |
| 11-04269 | 09/10/2013 | Claimant(s): Steven Jones
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Citigroup Global Markets., UBS Financial Services Inc., Marvin Goldin, Michael Kosik
Respondent Lawyers(s): Amy B. Bard, William Hohauser
Arbitrator(s): Roger J. Hawke, Marguerite B. Filson, Lincoln W. Craighead
Hearing Site: New York, NY
| | $0 |
| 11-02754 | 09/04/2013 | Claimant(s): Edward Horvath, Pamela Horvath
Claimant Lawyers(s): Adam J. Gana
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Irwin Kahn, Elizabeth Gilbert, Mitchell Jay Bayer
Hearing Site: New York, NY
| | $0 |
| 13-00130 | 09/03/2013 | Claimant(s): Norman Pinn
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Stifel, Nicolaus & Co.., Philip Smolowitz
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | $3,311 |
| 11-00951 | 08/29/2013 | Claimant(s): Amit Gupta
Claimant Lawyers(s): Amy C. Brown
Respondent(s): Morgan Stanley & Co., Morgan Stanley Capital Group
Respondent Lawyers(s): Jennifer J. Barrett
Arbitrator(s): John W. Bissell, John S. Martin, Don Robinson
Hearing Site: New York, NY
| | $0 |
| 13-00829 | 08/29/2013 | Claimant(s): Fred Bauries IRA
Claimant Lawyers(s): T. John Kirk
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | $25,518 |
| 10-02967 | 08/28/2013 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Harry Friedman, Marc Reda, John Thomas Financial
Respondent Lawyers(s): Harry Friedman, Robert M. Bursky
Arbitrator(s): Joseph R. Brancaleone, Denise N. Seegobin, Stephen M. Schaedtler
Hearing Site: New York, NY
| | $0 |
