| 11-04695 | 08/20/2012 | Claimant(s): Aldo Valente, Nelson Martins
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Nicholas Mazzaferro
Respondent Lawyers(s): Benjamin Lapin
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
| | $0 |
| 11-01701 | 08/15/2012 | Claimant(s): Albert Lazarus
Claimant Lawyers(s): Arthur P Fisch
Respondent(s): Eric Diton, UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Kinchen C. Bizzell, Keely D. Parr, Michele S. Riley
Hearing Site: New York, NY
|  | $0 |
| 10-03505 | 08/14/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Matthew Iskric
Respondent Lawyers(s): Matthew John Iskric
Arbitrator(s): Edward M. Rosensteel
Hearing Site: New York, NY
| | $0 |
| 10-01486 | 08/14/2012 | Claimant(s): Seymour Topple
Claimant Lawyers(s): Michael Finkelstein
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan Reyes
Arbitrator(s): Martin Jay Siegel, Mary Ellen Burns, Richard Bryce Nesson
Hearing Site: New York, NY
| | $0 |
| 11-00684 | 08/09/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Vivek Mahajan
Respondent Lawyers(s): Jamie Andrew Schreck
Arbitrator(s): Joseph B. Russell
Hearing Site: New York, NY
| | $0 |
| 11-03823 | 08/07/2012 | Claimant(s): Bruce Zaret
Claimant Lawyers(s): Bruce Zaret
Respondent(s): Aura Financial Services.
Respondent Lawyers(s): John Woodruff
Arbitrator(s): Arnold Wagner, Jeffery A. Hamer, Stephen Martin Friedberg
Hearing Site: New York, NY
| | $0 |
| 11-01891 | 08/07/2012 | Claimant(s): Deephaven Distressed Opportunities, Deephaven Event Trading, Ltd, MA Deep Event
Claimant Lawyers(s): Don Abraham
Respondent(s): Imperial Capital
Respondent Lawyers(s): Jeffrey R. Wang
Arbitrator(s): Stuart Rothenstein, Leona Beane, Nancy Kramer
Hearing Site: New York, NY
| | $0 |
| 09-06282 | 07/30/2012 | Claimant(s): Arlene Scanlan
Claimant Lawyers(s): Steven L. Manchel
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Evelyn Bukchin
Arbitrator(s): Joseph J. Arata, Ernesto V. Luzzatto, Scott W. Mulford
Hearing Site: New York, NY
| | $150,000 |
| 11-00875 | 07/27/2012 | Claimant(s): Claudia Hurtado
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Saverio J. Cina, Linda R. Alpert, Arnold Wagner
Hearing Site: New York, NY
| | $0 |
| 11-01922 | 07/25/2012 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne H. Nitzberg
Respondent(s): HSBC Securities (Usa) Inc.
Respondent Lawyers(s): Jane H. Kauh
Arbitrator(s): Roger M. Deitz, Bernard A. Friedman, Kumar Atmakuri Ram
Hearing Site: New York, NY
| | $0 |
