| 10-01395 | 01/20/2012 | Claimant(s): Anthony V. Possidente & Fonda Possidente
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Ted M. Rosen, Lincoln W. Craighead, Nunzio Garzino
Hearing Site: New York, NY
|  | $0 |
| 10-02884 | 01/10/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Martin Zalin
Respondent Lawyers(s): Martin Harris Zalin
Arbitrator(s): C. Sidney Lester
Hearing Site: New York, NY
| | $0 |
| 11-02496 | 01/09/2012 | Claimant(s): Evelyn Salter
Claimant Lawyers(s): Evelyn Salter
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer S. Reiser
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 10-03067 | 01/05/2012 | Claimant(s): Nicole Perry
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael J. McAllister
Arbitrator(s): David S. Billet, John J. Witkowski, Martin H. Jaffe
Hearing Site: New York, NY
| | $6,109,110 |
| 10-01994 | 12/30/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Michael Zenick
Respondent Lawyers(s): Michael David Schimek
Arbitrator(s): Gilbert F. Bach, Barry S. Jacobson, Michele S. Riley
Hearing Site: New York, NY
| | $0 |
| 11-02100 | 12/30/2011 | Claimant(s): Kelly Martinsen
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Ilene Barbara Zatkin-Butler, Joseph F. Kelley, Robert M. Goldstein
Hearing Site: New York, NY
| | $0 |
| 09-06028 | 12/29/2011 | Claimant(s): Andrew Pritchard
Claimant Lawyers(s): Brendan J. O'Rourke
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Richard J. Rabin
Arbitrator(s): Ted M. Rosen, Stevan J. Bosses, James D. Siegel
Hearing Site: New York, NY
| | $0 |
| 11-01177 | 12/29/2011 | Claimant(s): White Pacific Securities.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Wing Lim
Respondent Lawyers(s): Wing Kin Lim
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 10-05276 | 12/23/2011 | Claimant(s): John Puglisi
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Lori H. Carena
Hearing Site: New York, NY
| | $0 |
| 10-03471 | 12/22/2011 | Claimant(s): The Circle Trust UAD, Joan Lane TTEE
Claimant Lawyers(s): Hartley T. Bernstein
Respondent(s): Donna Leone, Laura Sloate, Neuberger Berman LLC, SWM Securities., Sloate, Weisman, Murray & Company.
Respondent Lawyers(s): Compliance Officer, Donna M. Leone, Victor A. Machcinski
Arbitrator(s): Harvey Barrison, Lisa Catalano, Robert S. Clemente
Hearing Site: New York, NY
| | $0 |
