| 11-00861 | 11/01/2011 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $0 |
| 10-02950 | 11/01/2011 | Claimant(s): Richard Guido
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Dora M. Lassinger, Ernesto V. Luzzatto, David Jeremy Mattana
Hearing Site: New York, NY
|  | $0 |
| 09-06573 | 10/26/2011 | Claimant(s): Robert Goldenberg
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Douglas Castro, Charles Schwab & Co..
Respondent Lawyers(s): Dan Rabinovitz
Arbitrator(s): Diane Getzler, Stephen M. Gross, Gregory J. Getz
Hearing Site: New York, NY
| | $0 |
| 11-01797 | 10/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Esteban Llavallol
Respondent Lawyers(s): Esteban E. Llavallol
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $0 |
| 11-00582 | 10/21/2011 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Revan R. Schwartz
Respondent(s): Aviv Hen
Respondent Lawyers(s): Martin I. Unger
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
| | $0 |
| 11-02649 | 10/21/2011 | Claimant(s): Advanced Equities.
Claimant Lawyers(s): Grant R. Cornehls
Respondent(s): Frank Mazzola, Jared Carmel, Felix Investments LLC
Respondent Lawyers(s): Barry M. Bordetsky, Catania Facher
Arbitrator(s): Marguerite B. Filson, Stuart Rothenstein, Allan E. Johnson
Hearing Site: New York, NY
| | $0 |
| 11-01670 | 10/20/2011 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne H. Nitzberg
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $0 |
| 02-07501 | 10/19/2011 | Claimant(s): Peter Green
Claimant Lawyers(s): Peter Green
Respondent(s): Cadaret Grant & Co..
Respondent Lawyers(s): Chaim J. Jaffe
Arbitrator(s): Joseph J. Arata, John B. Myers, Gary W. Sherbell
Hearing Site: New York, NY
| | $0 |
| 11-01553 | 10/19/2011 | Claimant(s): Paul Manelis
Claimant Lawyers(s): Paul Joseph Manelis
Respondent(s): WJB Capital Group.
Respondent Lawyers(s): Mark Skolnick
Arbitrator(s): Linda Ashley
Hearing Site: New York, NY
| | $0 |
| 10-04745 | 10/18/2011 | Claimant(s): Anna McDwyer
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): Edward Scro, Alternative Wealth Strategies,
Respondent Lawyers(s): Edward Scro, James C. Gaul
Arbitrator(s): Hugh N. Fryer
Hearing Site: New York, NY
| | $36,491 |
