| 10-05600 | 12/21/2011 | Claimant(s): Peter Goldman
Claimant Lawyers(s): Daniel Felber
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): William E. Nuckel, Mitchell Jay Bayer, Herbert Sue
Hearing Site: New York, NY
| | $0 |
| 11-01866 | 12/21/2011 | Claimant(s): Zhenzhou Wang and Min Cao
Claimant Lawyers(s): Zhenzhou Wang
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): John F. Duane
Hearing Site: New York, NY
|  | $18,870 |
| 11-01863 | 12/20/2011 | Claimant(s): Henry Erlich, Madeline Erlich, Susan Brown
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Trident Partners LTD
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Ira S. Cure
Hearing Site: New York, NY
| | $3,962 |
| 11-01190 | 12/19/2011 | Claimant(s): Peter Triantafillou
Claimant Lawyers(s): Peter Triantafillou
Respondent(s): Bay Crest Partners
Respondent Lawyers(s): Jon Connolly
Arbitrator(s): Martin H. Zern, David Marcus, David J. Weisenfeld
Hearing Site: New York, NY
| | $0 |
| 10-05354 | 12/15/2011 | Claimant(s): Michael Subrizi
Claimant Lawyers(s): Michael Subrizi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Alun W. Griffiths
Arbitrator(s): Elizabeth Gilbert, Ellyn S. Roth, Alan Gradzki
Hearing Site: New York, NY
| | $0 |
| 10-05557 | 12/15/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): David Song
Respondent Lawyers(s): David Song
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | $0 |
| 10-01554 | 12/14/2011 | Claimant(s): Robert Lipka
Claimant Lawyers(s): Howard S. Meyers
Respondent(s): Katherine Alcorn, Raymond James Financial Services.
Respondent Lawyers(s): David A. Gehn, Glenn A. Duhl
Arbitrator(s): Paul Weinberg, Bernard Korman, Adam M. Kauff
Hearing Site: New York, NY
| | $0 |
| 11-02213 | 12/12/2011 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Schwantner
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly, Kitoh Grey
Arbitrator(s): Allan E. Johnson, Howard D. Jacob, Donald Raymond McNally
Hearing Site: New York, NY
| | $0 |
| 11-02647 | 12/12/2011 | Claimant(s): David Lerner Associates.
Claimant Lawyers(s): Michael G. Shannon
Respondent(s): Benjamin Lingenfelter
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): William Wong, Noel B. Berman, Michael C. Cantor
Hearing Site: New York, NY
| | $0 |
| 10-02215 | 12/12/2011 | Claimant(s): Frederick Horn
Claimant Lawyers(s): Janice L. Malecki
Respondent(s): James Carey, UBS Financial Services Inc., Margaret Carey
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Abigail J. Pessen, Eugene G. P. Byrne, Scott W. Mulford
Hearing Site: New York, NY
| | $0 |
