| 09-02897 | 01/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Brian Walsh, Stifel, Nicolaus & Co.., Kevin Healy
Respondent Lawyers(s): Andrew J. Shapren
Arbitrator(s): Martin Mushkin, Cheryl Feldman, Joseph R. Sahid
Hearing Site: New York, NY
| | $0 |
| 11-01413 | 01/11/2013 | Claimant(s): Tullett Prebon Americas Corp., Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Robert M. Abrahams
Respondent(s): Anthony Arcabascio, Charles Comparetto, Gregory Golden, Michael Palladino, Pierce Ryan, Richard Clarkson, Robert Steiniger, Thomas Killeen, Timothy Horan, BGC Financial, L.P.
Respondent Lawyers(s): Eric Seiler, Nicholas J. Boyle
Arbitrator(s): Paul K. Barenholtz, Martin H. Zern, Anthony Dennis Perri
Hearing Site: New York, NY
| | $0 |
| 09-07114 | 01/08/2013 | Claimant(s): James McGarry, Amethyst Music and Entainment.
Claimant Lawyers(s): James P. McGarry
Respondent(s): Citigroup Global Markets., Jack Hochstrasser
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Diane Getzler, Donald Raymond McNally, Nancy Kramer
Hearing Site: New York, NY
|  | $0 |
| 11-01914 | 01/04/2013 | Claimant(s): Gregory Torretta
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Marguerite B. Filson, Paul S. Biederman, Joel Morton Newman
Hearing Site: New York, NY
| | $0 |
| 09-01417 | 12/28/2012 | Claimant(s): Jennifer Frame-Tunney
Claimant Lawyers(s): David B. Wechsler
Respondent(s): J.P. Morgan Securities.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Peter P. Skomorowsky, Mary Lou McGanney, Lawrence B. Schiffman
Hearing Site: New York, NY
| | $0 |
| 11-00117 | 12/26/2012 | Claimant(s): Charles Drummond
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Blaylock Robert Van
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Fred S. Pieroni, Julian F. Santos, David Jeremy Mattana
Hearing Site: New York, NY
| | $0 |
| 10-01812 | 12/14/2012 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): John K. Wells
Respondent(s): Hemant Singh
Respondent Lawyers(s): Philip L. Guarino
Arbitrator(s): Henry Tiffany, Sandra Gale Behrle, Alfred H. Kingon
Hearing Site: New York, NY
| | $0 |
| 09-04558 | 12/13/2012 | Claimant(s): LH Ross & Company.
Claimant Lawyers(s): Mark A. Berman
Respondent(s): Andrew Holtmeyer, Edward Goetz
Respondent Lawyers(s): Andrew Walter Holtmeyer, Edward William Goetz
Arbitrator(s): Michael T. Curley, David S. Billet, William G. Binckes
Hearing Site: New York, NY
| | $0 |
| 11-01982 | 12/11/2012 | Claimant(s): Gregory Martino
Claimant Lawyers(s): Richard F. Markert
Respondent(s): Steven Grivas
Respondent Lawyers(s): Martin P. Unger
Arbitrator(s): Theodor Brown, Cynthia A. DiMarco, Frank Joseph Clemens
Hearing Site: New York, NY
| | $0 |
| 10-00329 | 12/07/2012 | Claimant(s): Nations Financial Group.
Claimant Lawyers(s): William T McCartan
Respondent(s): Bruce Guarino, Clifford Morgan
Respondent Lawyers(s): Clifford Todd Morgan, Robert M. Bursky
Arbitrator(s): Clarence Smith
Hearing Site: New York, NY
| | $0 |
