| 12-01451 | 02/04/2013 | Claimant(s): J.D. Nicholas & Associates.
Claimant Lawyers(s): Ian Frimet
Respondent(s): James Webb, Larry Yager, Michael Lovett, Paul Nardella, Cape Securities Inc.
Respondent Lawyers(s): John A. Fortuna, Ron Amato
Arbitrator(s): Michael J. McAllister, Marilyn J. Salzman, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 12-02732 | 01/31/2013 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Francis M. Curran
Respondent(s): Nathan Gainer
Respondent Lawyers(s): Nathan Edward Gainer
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
| | $0 |
| 12-00327 | 01/30/2013 | Claimant(s): Craig Meisner, David Taylor, Ravi Nursey, Thomas Roth, Timothy Madigan, Vincent Parisot
Claimant Lawyers(s): James M. Griffin
Respondent(s): Commerz Markets LLC
Respondent Lawyers(s): Kenneth J. Kelly
Arbitrator(s): Thomas E. Duggan, David I. Goldblatt, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 09-00878 | 01/30/2013 | Claimant(s): US Airways.
Claimant Lawyers(s): Robert W. Henoch
Respondent(s): Oppenheimer & Co.., Vincent Woo
Respondent Lawyers(s): Suzan Jo, Thomas J. Hennessey
Arbitrator(s): Catherine I. Gulevich, James S. Hazard, Ellyn S. Roth
Hearing Site: New York, NY
|  | $30,000,000 |
| 09-07047 | 01/29/2013 | Claimant(s): Louis Pitch and Donna Pitch
Claimant Lawyers(s): Timothy J. Dennin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Alida D. Camp, Jerome M Shafer, Scott W. Mulford
Hearing Site: New York, NY
| | $2,450,000 |
| 11-04523 | 01/25/2013 | Claimant(s): Brendan Sheehan
Claimant Lawyers(s): Vincent E. Bauer
Respondent(s): Standard Credit Securities Inc., Tradition Asiel Securities Inc.
Respondent Lawyers(s): Chaim A. Levin
Arbitrator(s): Leah G. Rabinowitz, Sandra Gale Behrle, John B. Myers
Hearing Site: New York, NY
| | $0 |
| 08-01430 | 01/22/2013 | Claimant(s): VCG Special Opportunities Master Fund
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Allan J. Arffa
Arbitrator(s): Zuhayr A. Moghrabi, Patricia A. DeWitt, Jay L. Zelesnick
Hearing Site: New York, NY
| | $0 |
| 11-00600 | 01/16/2013 | Claimant(s): Melvyn M. Heller Rollover IRA
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $0 |
| 12-02614 | 01/15/2013 | Claimant(s): Linda Tortu
Claimant Lawyers(s): Linda Marie Tortu
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Judah Skoff
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | $0 |
| 12-02086 | 01/14/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): John K. Wells
Respondent(s): Gary Schwarcz
Respondent Lawyers(s): Gary Alan Schwarcz
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
