| 10-03469 | 10/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brad Feinstein
Respondent Lawyers(s): Max Folkenflik
Arbitrator(s): Walter M. Schackman
Hearing Site: New York, NY
| | $0 |
| 12-01478 | 10/05/2012 | Claimant(s): David Simms
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Concetto Kevin Barone
Arbitrator(s): Jeffrey G. Sommers
Hearing Site: New York, NY
| | $0 |
| 12-01596 | 10/05/2012 | Claimant(s): Euna Shim
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 12-00391 | 10/04/2012 | Claimant(s): Karen Purdie
Claimant Lawyers(s): Karen E Purdie
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Annette B. Meyers, David S. Paul, Albert L. Akerman
Hearing Site: New York, NY
| | $0 |
| 09-06473 | 10/03/2012 | Claimant(s): The Segue Foundation., James Sherry IRA Account, Shirley Sherry Revocable Trust DTD 09/22
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Thomas Briody
Arbitrator(s): Susan C. Lushing, Christian Leslie Billet, Susan Y. Chin
Hearing Site: New York, NY
|  | $0 |
| 11-01363 | 10/02/2012 | Claimant(s): Malco Real Estate.
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Irwin Kahn
Hearing Site: New York, NY
| | $0 |
| 11-04605 | 09/28/2012 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Robert Willoughby
Respondent(s): EKN Financial Services Inc.
Respondent Lawyers(s): Bradley D. Schnur
Arbitrator(s): Alida D. Camp
Hearing Site: New York, NY
| | $0 |
| 12-00491 | 09/27/2012 | Claimant(s): Randi Belin (aka Randi Rosen), Sylvia Belin
Claimant Lawyers(s): Christine Lazaro
Respondent(s): Wells Fargo Advisors, Jeri Cohen
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): James S. Hazard
Hearing Site: New York, NY
| | $0 |
| 11-03080 | 09/26/2012 | Claimant(s): Samuel Borger
Claimant Lawyers(s): Samuel J Borger
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | $0 |
| 12-01108 | 09/25/2012 | Claimant(s): Michael Bruni
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Alex Hotzoglou, Morgan Stanley
Respondent Lawyers(s): Lawrence G. Barbot
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
| | $23,089 |
