| 11-01943 | 11/20/2012 | Claimant(s): William Otto, William L. Otto Irrevocable Lifetime Tru
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Joseph Gill, Lore Gordon, MML Investors Services
Respondent Lawyers(s): Barry R. Temkin, Mathew Tracy, William P. Thornton
Arbitrator(s): Steven David Leader, Leslie Ruth Nydick, Edwin H. Bennett
Hearing Site: New York, NY
|  | $0 |
| 11-03259 | 11/19/2012 | Claimant(s): Robert Slovinsky
Claimant Lawyers(s): Joseph A. Vallo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Robert J. Kheel, Raymond J. Cullen, Laura Carraher
Hearing Site: New York, NY
| | $0 |
| 11-03524 | 11/16/2012 | Claimant(s): Lucy Patriarca
Claimant Lawyers(s): Gary E. Roth
Respondent(s): Louis Parks, Peter Bulger, C. L. King & Associates.
Respondent Lawyers(s): Lisa F. Joslin
Arbitrator(s): Keely D. Parr, Ernesto V. Luzzatto, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 12-01575 | 11/16/2012 | Claimant(s): Cheng Teo, Judy Teo
Claimant Lawyers(s): Cheng Chai Teo
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): J. Martin McDonough
Hearing Site: New York, NY
| | $0 |
| 10-04970 | 11/14/2012 | Claimant(s): Ray Gatten
Claimant Lawyers(s): John G. Rich
Respondent(s): John Sadowski, Gatten Sadowski Inc.
Respondent Lawyers(s): David A. Shargel
Arbitrator(s): Donald J. Zoeller, Glen R. Stifelman, John F. Duane
Hearing Site: New York, NY
| | $0 |
| 12-02389 | 11/09/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Emma J. Purdy
Respondent(s): James Rosica
Respondent Lawyers(s): James M. Rosica
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 10-00992 | 10/24/2012 | Claimant(s): Brigette Roberts
Claimant Lawyers(s): Bryan T. Mohler
Respondent(s): Pascal Besman, ThinkEquity Partners
Respondent Lawyers(s): Douglas Pick
Arbitrator(s): Elizabeth Gilbert, Sherri L. Hughes, Marianne C. Hussey
Hearing Site: New York, NY
| | $1,475,000 |
| 10-05687 | 10/19/2012 | Claimant(s): Elizabeth McCarthy, Robert McCarthy, The Emily J. McCarthy Education Trust UA, The John P. McCarthy Education Trust
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Sanford C. Bernstein & Co., Alliance Capital Management L.P., AllianceBernstein L.P.
Respondent Lawyers(s): Sean Murphy
Arbitrator(s): Lowell D. Johnston, Carol Maria Luttati
Hearing Site: New York, NY
| | $30,000 |
| 11-00508 | 10/19/2012 | Claimant(s): Michael Pascazi
Claimant Lawyers(s): Michael S. Pascazi
Respondent(s): Citigroup Global Markets., Morgan Stanley, Richard Divenuto, Salomon Smith Barney Inc.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Pamela H. Roderick, Allan E. Johnson, Richard Gee
Hearing Site: New York, NY
| | $0 |
| 11-04106 | 10/19/2012 | Claimant(s): Hershel Finkelstein
Claimant Lawyers(s): Hershel Finkelstein
Respondent(s): Abram Silver, Jacob Eilenberg, Moses Silver
Respondent Lawyers(s): Abram Joseph Silver, Jacob Eilenberg, Moses M. Silver
Arbitrator(s): Raymond Nardo
Hearing Site: New York, NY
| | $213 |
