| 12-00451 | 11/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Daniel Masiello, Mary Baranowski-Gallo, Philip Pursino
Respondent Lawyers(s): Edward B. Magarian, James E. Heavey, Philip Pursino
Arbitrator(s): Michael Ross, Martin A. Edelstein, Marianne C. Hussey
Hearing Site: New York, NY
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| 11-03407 | 02/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): John K. Wells
Respondent(s): Carlos Molina, Jorge Carreras
Respondent Lawyers(s): Jacob W. Buchdahl
Arbitrator(s): Annette B. Meyers, Sherri L. Hughes, Marianne C. Hussey
Hearing Site: New York, NY
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| 10-01208 | 02/23/2012 | Claimant(s): Stephen Hentschel
Claimant Lawyers(s): Jonathan Harris
Respondent(s): Eastdil Secured, Wachovia Capital Markets, Wells Fargo Securities
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Sandra J. Mullings, John Nino Brenkovich, Marianne C. Hussey
Hearing Site: New York, NY
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| 09-04041 | 08/04/2011 | Claimant(s): Jay Moskowitz
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): John T. McDonald
Arbitrator(s): Joseph B. Russell, Michael Peter Yahr, Marianne C. Hussey
Hearing Site: New York, NY
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| 10-02985 | 03/29/2011 | Claimant(s): Mathias Hawkins
Claimant Lawyers(s): Mathias John Hawkins
Respondent(s): Toussaint Capital Partners
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Eva H. Posman, Jonathan R. Morris, Marianne C. Hussey
Hearing Site: New York, NY
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