| 12-03860 | 07/10/2013 | Claimant(s): Patricia Williams
Claimant Lawyers(s): Patricia Carol Williams
Respondent(s): Abdus Sikder, Alice Lau, Maria Sherffius, Michael Weckenbrock, Wendell Hutsell, Ameritas Investment Corp.
Respondent Lawyers(s): Abdus Salam Sikder, David M. Williams
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 12-01225 | 07/02/2013 | Claimant(s): The Estate of Max Bernstein
Claimant Lawyers(s): Samuel Goldman
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): David S. Billet, Paul K. Barenholtz, Bryan Lane Berson
Hearing Site: New York, NY
|  | $0 |
| 10-03377 | 07/01/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Allen Gibson
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Barry S. Jacobson
Hearing Site: New York, NY
| | $0 |
| 11-01330 | 07/01/2013 | Claimant(s): Nifly, LLP
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): J.P. Morgan Securities Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Sam Antar, Ellyn S. Roth, Dolores D. Balsamo
Hearing Site: New York, NY
| | $55,000 |
| 11-02937 | 07/01/2013 | Claimant(s): Protostar I Litigation Trust
Claimant Lawyers(s): Elizabeth Wolstein
Respondent(s): Paul Deninger, Richard Morrison, Jefferies & Company.
Respondent Lawyers(s): Hal S. Shaftel
Arbitrator(s): Lise Gabrielle Hunter, Walter D. Goldsmith, J.D., Phillip Weitzman
Hearing Site: New York, NY
| | $566,667 |
| 10-01289 | 06/28/2013 | Claimant(s): Clara Garrett
Claimant Lawyers(s): Clara Garrett
Respondent(s): Wills Henriquez
Respondent Lawyers(s): Wills S. Henriquez
Arbitrator(s): Ted M. Rosen
Hearing Site: New York, NY
| | $34,407 |
| 13-00099 | 06/28/2013 | Claimant(s): Sheila Schweky
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 11-03855 | 06/27/2013 | Claimant(s): Darius Saib
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): LIoyd B. Chinn
Arbitrator(s): Howard J. Stiefel, Carole L. Green, Bernard J. McGuire
Hearing Site: New York, NY
| | $0 |
| 11-04657 | 06/26/2013 | Claimant(s): Mildred Pitchon
Claimant Lawyers(s): G. Martin Meyers
Respondent(s): David Donovan, Citigroup Global Markets., Morgan Stanley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Adam Kauff, Angela T. Turiano
Arbitrator(s): Steven David Leader, Keith Roberts, Robert Bartels
Hearing Site: New York, NY
| | $0 |
| 11-04769 | 06/25/2013 | Claimant(s): Joan and Todd Donohue
Claimant Lawyers(s): Arthur P. Fisch
Respondent(s): Charles Lieberman, Advisors Capital Management Group, Wall Street Financial Group.
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Denzil J. Klippel, Sandra Gale Behrle, Arthur M. Schoenberger
Hearing Site: New York, NY
| | $0 |
