| 10-04339 | 09/21/2012 | Claimant(s): Jacquelyn Kirkland
Claimant Lawyers(s): Leslie Wybiral
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): LLoyd B. Chinn
Arbitrator(s): Clarence Smith, Patricia A. DeWitt, James I. Berliner
Hearing Site: New York, NY
| | $0 |
| 11-02382 | 09/20/2012 | Claimant(s): Ephraim Finkelstein
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Joanne Seltzer
Arbitrator(s): Michael J. McAllister, Richard W. Cutler, Mitchell Proux
Hearing Site: New York, NY
| | $0 |
| 12-01518 | 09/11/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Stephen Collins
Respondent Lawyers(s): Stephen Patrick Collins
Arbitrator(s): Franklin P. Chapman
Hearing Site: New York, NY
| | $0 |
| 08-02290 | 09/11/2012 | Claimant(s): Sophin Investments S.A.
Claimant Lawyers(s): Barry R. Fischer
Respondent(s): Ezequiel Nasser, Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch Capital Services.
Respondent Lawyers(s): Daniel Goldstein, Dominick F. Evangelista, Kenneth I. Schacter
Arbitrator(s): Kenneth L. Lampert, Brian J. Burstin, Myron Kove
Hearing Site: New York, NY
|  | $3,632,020 |
| 12-01434 | 09/10/2012 | Claimant(s): David Gershon
Claimant Lawyers(s): Tammy Marzigliano
Respondent(s): M.M. Dillon & Co. LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | $0 |
| 12-01595 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Francis Bice
Respondent Lawyers(s): Francis Xavier Bice
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $0 |
| 10-02808 | 09/07/2012 | Claimant(s): GFI Securities LLC
Claimant Lawyers(s): Lauri F. Rasnick
Respondent(s): Daniel Robin
Respondent Lawyers(s): Daniel L. Robin
Arbitrator(s): Sidney D. Krasner, Sandra J. Mullings, Mary Lou McGanney
Hearing Site: New York, NY
| | $0 |
| 12-01187 | 09/07/2012 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 11-04587 | 09/07/2012 | Claimant(s): Marvin Rotman
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Bruce Guarino, Peter Ferrara, Rockwell Global Capital LLC
Respondent Lawyers(s): Martin H. Kaplan
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | $25,000 |
| 12-00563 | 09/07/2012 | Claimant(s): Zhenzhou Wang and Min Cao
Claimant Lawyers(s): Zhenzhou Wang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Ann Aylesworth
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | $213 |
