| 11-02196 | 09/05/2012 | Claimant(s): Margaret Hill
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Howard D. Jacob, Alida D. Camp, Howard S. Quinn
Hearing Site: New York, NY
|  | $1,471,190 |
| 12-00430 | 09/05/2012 | Claimant(s): Geary Stevenson
Claimant Lawyers(s): Geary Stevenson
Respondent(s): Nationwide Investment Services Corp
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 11-00140 | 08/28/2012 | Claimant(s): Donald Adkins
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Michael E. Olney, Gary W. Sherbell, Walter Michael Mathews
Hearing Site: New York, NY
| | $0 |
| 11-04267 | 08/28/2012 | Claimant(s): Anthony Llanes
Claimant Lawyers(s): Anthony Llanes
Respondent(s): Anthony Lodati, Brett Zinner, John Conroy, Kevin Brennan, Benson York Group., Brookville Capital Partners, New Castle Financial Group Inc.
Respondent Lawyers(s): Bradford A. Miller, Brett D. Zinner, Cristina M. Brennan, John Joseph Conroy
Arbitrator(s): Leah R. Marks, Joan Marie Chiusano, Ellen R. Badinelli
Hearing Site: New York, NY
| | $0 |
| 11-03428 | 08/27/2012 | Claimant(s): Arik Borohov
Claimant Lawyers(s): Todd A. Gabor
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
| | $0 |
| 12-00960 | 08/24/2012 | Claimant(s): Ludger Brockmeier
Claimant Lawyers(s): Ludger Brockmeier
Respondent(s): Firstrade Securities Inc.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $22,156 |
| 11-02261 | 08/23/2012 | Claimant(s): Alan Jacobson, Richard Schwartz
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Peter M. Pfau, Terrance J. Nolan, Ira S. Cure
Hearing Site: New York, NY
| | $0 |
| 11-00709 | 08/23/2012 | Claimant(s): David Berman
Claimant Lawyers(s): David E. Robbins
Respondent(s): Christian Coluccio, Gregg Zeoli, Richard Cardinale, Empire Asset Management Company
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): James M. Baumann, Caryl D. Feldmann, Philip Florio
Hearing Site: New York, NY
| | $0 |
| 11-02405 | 08/23/2012 | Claimant(s): Arnold Schwedock Irrevocable Trust
Claimant Lawyers(s): Vincent J. Imbesi
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Thomas E. Duggan, Sanford S. Stevens, Barry Steven Port
Hearing Site: New York, NY
| | $0 |
| 10-04746 | 08/20/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Conway Donaldson
Respondent Lawyers(s): Conway Kirk Donaldson
Arbitrator(s): Joseph B. Russell, Joseph A. Forgione, Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
