| 10-04805 | 10/12/2011 | Claimant(s): James Rathgeber
Claimant Lawyers(s): James A. Rathgeber
Respondent(s): Antony Turberville, David Locy, David McCoy, Denise Zumbrun, Kyong Kim, Paul Balog, Phil Fatta, Brookstone Securities.
Respondent Lawyers(s): Christopher L. Van De Water, Marc L. Abramson
Arbitrator(s): Gilbert F. Bach, Mary Lou McGanney, Marion F. Posner
Hearing Site: New York, NY
| | $0 |
| 10-05193 | 10/12/2011 | Claimant(s): Ronald Altman
Claimant Lawyers(s): Curtis E. Pew
Respondent(s): David Benedict, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Susan C. Lushing
Hearing Site: New York, NY
|  | $6,494 |
| 08-05019 | 10/11/2011 | Claimant(s): Dalila Costa-Leroy
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Douglas H. Wigdor
Arbitrator(s): Harvey Barrison, Leah R. Marks, Erica Levitt
Hearing Site: New York, NY
| | $0 |
| 10-01868 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): William Cerf
Respondent Lawyers(s): Matthew Farley
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $0 |
| 10-04569 | 10/11/2011 | Claimant(s): Lehman Brothers Holdings.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jennifer Mitchell
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): David N. Brainin
Hearing Site: New York, NY
| | $0 |
| 10-01538 | 10/11/2011 | Claimant(s): James Clifford
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Wayne Hillis
Arbitrator(s): Fred S. Pieroni
Hearing Site: New York, NY
| | $0 |
| 10-02177 | 10/07/2011 | Claimant(s): JonesTrading Institutional Services LLC
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Charles Manning, Douglas Finnegan, Ermenegildo Niutta, Mark Edgar, Meredith Curley, Nomura Securities International.
Respondent Lawyers(s): David Potter, Pearl Zuchlewski, Robin D. Fessel
Arbitrator(s): Alun Hywel Jones, Paul Giappone, Lawrence J. Roth
Hearing Site: New York, NY
| | $0 |
| 10-04424 | 10/07/2011 | Claimant(s): Michael Colombino
Claimant Lawyers(s): William C. Rand
Respondent(s): Ashraf Elghandour, Morgan Stanley
Respondent Lawyers(s): Susan MacFarlane
Arbitrator(s): John A. Scudiero, Joan M. Traub, Roland E. Wyatt
Hearing Site: New York, NY
| | $0 |
| 11-00570 | 09/30/2011 | Claimant(s): Fredric Hart
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Nancy Chinchar, Peter Grassel, Sandgrain Securities
Respondent Lawyers(s): Peter Grassel
Arbitrator(s): Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
| 11-00610 | 09/29/2011 | Claimant(s): Jim McCormickand Fionnuala McCormick
Claimant Lawyers(s): Jim McCormick
Respondent(s): Harry Friedman
Respondent Lawyers(s): Brian H. Reis
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | $425 |
