| 12-00525 | 05/03/2013 | Claimant(s): Robert Hetherington
Claimant Lawyers(s): Robert Hetherington
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Robert Youdelman
Hearing Site: New York, NY
|  | $0 |
| 11-04480 | 05/02/2013 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Gene L. Small
Respondent(s): Kasemsante Boonswang
Respondent Lawyers(s): Kasemsante Guevara Boonswang
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
| | $0 |
| 11-03660 | 05/02/2013 | Claimant(s): Felicia Jones
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): James Schwantner, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Kenneth E. Meister, Susan P. MacFarlane
Arbitrator(s): Marianne C. Hussey
Hearing Site: New York, NY
| | $0 |
| 10-04088 | 04/26/2013 | Claimant(s): Lehman Brothers Holdings Inc., as assign
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Mary Kenworthy
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): John N. Polakas, Michelle Jacobowitz Gallagher
Hearing Site: New York, NY
| | $0 |
| 11-04199 | 04/25/2013 | Claimant(s): Philip Gold
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Denny Darmodihardjo, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Mitchell S. Friedman
Hearing Site: New York, NY
| | $0 |
| 11-02832 | 04/25/2013 | Claimant(s): James Metzger
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Susan C. Lushing, Evonne W.J. Tolbert, Andrew M. Schmertz
Hearing Site: New York, NY
| | $0 |
| 12-00528 | 04/25/2013 | Claimant(s): Donald Kress, Patricia Kress
Claimant Lawyers(s): Michael Hanson
Respondent(s): John Orlando, Sterne Agee Financial Services.
Respondent Lawyers(s): David Feingold
Arbitrator(s): Jack Friedman, David J. Weisenfeld, Nicholas C. George
Hearing Site: New York, NY
| | $0 |
| 11-04456 | 04/23/2013 | Claimant(s): Precision Interior Construction Corp.
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Douglas Guarino, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | $0 |
| 11-01984 | 04/22/2013 | Claimant(s): Spartan Marketing Limited
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Dietrich Perreault
Arbitrator(s): Robert J. Kheel, Edward Buscemi, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 12-03706 | 04/18/2013 | Claimant(s): A. R. Schmeidler & Co..
Claimant Lawyers(s): Timothy Coon
Respondent(s): UBS Financial Services Inc., Michael Kahn
Respondent Lawyers(s): James Komie, Louis Lagalante
Arbitrator(s): Sandra J. Mullings, Cynthia A. DiMarco, Mark J. Happe
Hearing Site: New York, NY
| | $0 |
