| 11-00198 | 03/28/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): John Labarca
Respondent Lawyers(s): John J. Labarca
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
| | $0 |
| 11-01838 | 03/28/2012 | Claimant(s): Cantella & Co..
Claimant Lawyers(s): Jay Lanstein
Respondent(s): Kyle Lauzon
Respondent Lawyers(s): Brian J. Cohen
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | $0 |
| 11-03601 | 03/28/2012 | Claimant(s): Frank Monte
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Oleske
Respondent Lawyers(s): Joseph Robert Oleske
Arbitrator(s): Richard W. Vallario
Hearing Site: New York, NY
| | $0 |
| 10-05167 | 03/27/2012 | Claimant(s): Carmine Aufiero, Claudia Aufiero
Claimant Lawyers(s): Carole R. Bernstein
Respondent(s): Chester Payne, Hayes Brown, Jennifer Holloman, Triad Advisors.
Respondent Lawyers(s): Hayes Samuel Brown, Jennifer Anne Holloman, Mark J. Astarita
Arbitrator(s): Jack Friedman, John A. Astorina, Madelon M. Rosenfeld
Hearing Site: New York, NY
|  | $250,300 |
| 11-02789 | 03/26/2012 | Claimant(s): Philip Merryman
Claimant Lawyers(s): Philip Merryman
Respondent(s): Jeremy Mosbaugh, Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Hilda H. Boas
Hearing Site: New York, NY
| | $10,385 |
| 10-05540 | 03/23/2012 | Claimant(s): Source Capital Group.
Claimant Lawyers(s): Mitchell H Cobert
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd Clareman
Arbitrator(s): Robert Manfredo, Nancy Plesser Wendell, C. Kenneth Yoblon
Hearing Site: New York, NY
| | $0 |
| 11-03600 | 03/23/2012 | Claimant(s): Frank Monte
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Richard Nelson
Respondent Lawyers(s): Richard John Nelson
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
| | $0 |
| 10-05794 | 03/21/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Haorong Huang
Respondent Lawyers(s): Haorong Huang
Arbitrator(s): Barry S. Jacobson
Hearing Site: New York, NY
| | $0 |
| 10-04202 | 03/21/2012 | Claimant(s): Karen Papasergiou, Serge Papasergiou
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Alfred H. Kingon, Daniel A. Dolan, Edwin H. Bennett
Hearing Site: New York, NY
| | $0 |
| 10-01101 | 03/15/2012 | Claimant(s): Darin Ackerman
Claimant Lawyers(s): Charlotte W. Houghteling
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Mitchell S. Friedman, Howard A. Baker, John Murray Carroll
Hearing Site: New York, NY
| | $0 |
