| 12-01578 | 06/25/2013 | Claimant(s): Edith Soloway
Claimant Lawyers(s): Lawrence B. Goldberg
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph Calabrese
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
|  | $0 |
| 12-00694 | 06/20/2013 | Claimant(s): Michael Harris
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | $48,300 |
| 12-02509 | 06/20/2013 | Claimant(s): Richard Shepherd
Claimant Lawyers(s): J. A. Kiernander
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Regina Pepe Martorana
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 12-01868 | 06/19/2013 | Claimant(s): Nicholas Mangone
Claimant Lawyers(s): Neal Brickman
Respondent(s): Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Adam Pekor
Arbitrator(s): Robert L. Salzberg, Sandra Gale Behrle, Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
| 12-00720 | 06/19/2013 | Claimant(s): Bernadette Kelleher
Claimant Lawyers(s): Brian Kennedy
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Richard W. Cutler, John B. Myers, Ronald Harris Kisner
Hearing Site: New York, NY
| | $11,000 |
| 11-01608 | 06/19/2013 | Claimant(s): Miguel Moreno
Claimant Lawyers(s): Heriberto A. Cabrera
Respondent(s): Citigroup Global Markets., Winston Chung
Respondent Lawyers(s): Travis R. Chapin
Arbitrator(s): Vicki Z. Holleman, Biagio A. Civale, Lowell D. Johnston
Hearing Site: New York, NY
| | $0 |
| 09-06998 | 06/18/2013 | Claimant(s): Burton Langer
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): Charles Schwab & Co.., Matthew Weitzman
Respondent Lawyers(s): Frank J. Cuccio, Matthew Weitzman
Arbitrator(s): Mark Mendley, Michael Peter Yahr, Michael S. Lazan
Hearing Site: New York, NY
| | $2,750,000 |
| 12-03561 | 06/18/2013 | Claimant(s): Emil Shasha, V. S. Shasha Revc Liv Trust UAD
Claimant Lawyers(s): Emil Shasha
Respondent(s): E*Trade Securities LLC, J.P. Morgan Invest LLC
Respondent Lawyers(s): Christopher Reyes, Meredith Felde Hoffman
Arbitrator(s): Saul Scheier
Hearing Site: New York, NY
| | $0 |
| 12-03667 | 06/18/2013 | Claimant(s): International Financial Solutions.
Claimant Lawyers(s): Joel R. Beck
Respondent(s): Loma Agashiwala, Mahesh Agashiwala
Respondent Lawyers(s): Rejan K. Pillai
Arbitrator(s): Annette B. Meyers
Hearing Site: New York, NY
| | $0 |
| 11-03824 | 06/14/2013 | Claimant(s): Robyn Zivic
Claimant Lawyers(s): Jonathan Rogin
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Joan M. Traub, Judith P. Brooks, Gregory J. Getz
Hearing Site: New York, NY
| | $0 |
