| 11-01042 | 11/16/2011 | Claimant(s): Raffaele Gambardella
Claimant Lawyers(s): Richard A. Roth
Respondent(s): Sebastian Bongiovanni
Respondent Lawyers(s): Sebastian G. Bongiovanni
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 09-06358 | 11/16/2011 | Claimant(s): Robert and Virginia Russiello, JTWROS, Virginia Russiello Rollover IRA
Claimant Lawyers(s): Mike Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Robert E. Goldberg
Arbitrator(s): Brian Ken Kawakami, Kenneth Diamond, Lowell D. Johnston
Hearing Site: New York, NY
|  | $0 |
| 10-01810 | 11/15/2011 | Claimant(s): John Burke
Claimant Lawyers(s): Michael E. Grenert
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Eugene G. P. Byrne, Denise L. Quarles
Hearing Site: New York, NY
| | $0 |
| 11-00936 | 11/15/2011 | Claimant(s): Eureal Gardner
Claimant Lawyers(s): Eureal A. Gardner
Respondent(s): Smith Barney.
Respondent Lawyers(s): Tracey L. Gerber
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
| | $0 |
| 10-01011 | 11/14/2011 | Claimant(s): Alyssa DiRienzo, Amara DiRienzo, Cynthia Pilot, Deborah Holstein, Deborah Lutz, Frederick DiRienzo, Johanna C. & Frederick H. DiRienzo, The 1992 Irrevocable Trust for the Benef
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Colin Cookson, Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., National Financial Services LLC
Respondent Lawyers(s): Mark S. Cohen, Michael G. Shannon, Nicki Samson
Arbitrator(s): Evonne W.J. Tolbert, Alun Hywel Jones, Kevin B. Naughten
Hearing Site: New York, NY
| | $0 |
| 10-03879 | 11/08/2011 | Claimant(s): Martin Kupferberg and Dora Kupferberg
Claimant Lawyers(s): Timothy Feil
Respondent(s): Edward Scro, Alternative Wealth Strategies., Seniors Resource
Respondent Lawyers(s): Edward Scro, James C. Gaul
Arbitrator(s): Martin Mushkin, Mark Hammaren, John Michael Richardson
Hearing Site: New York, NY
| | $70,300 |
| 09-06530 | 11/07/2011 | Claimant(s): Kenji Higuchi
Claimant Lawyers(s): Madelyn R. Shulman
Respondent(s): William Heiden
Respondent Lawyers(s): William David Heiden
Arbitrator(s): Jeffrey P. Bachmann, Walter M. Schackman, Andrew J. Gerber
Hearing Site: New York, NY
| | $400,000 |
| 10-05192 | 11/04/2011 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Lloyd S. Clareman
Respondent(s): Stanley Stern
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Ellyn S. Roth, Terrance J. Nolan, John Clark Van Steen
Hearing Site: New York, NY
| | $0 |
| 10-03544 | 11/02/2011 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): William B. Fleming
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Larry A. Kimmel, Maive R. Dale, Michael Ross
Hearing Site: New York, NY
| | $0 |
| 11-00649 | 11/02/2011 | Claimant(s): James Coffey
Claimant Lawyers(s): Arlene Gilbert
Respondent(s): David Noe
Respondent Lawyers(s): Benjamin Biard
Arbitrator(s): Diane Getzler
Hearing Site: New York, NY
| | $76,040 |
