09-06725 | 04/16/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Mark Adams Respondent Lawyers(s): Mark Allen Adams Arbitrator(s): Mary C. Kelleher, Missy Daboul Margolis, Sharon L. Monroe Hearing Site: Boston, MA
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12-01006 | 04/02/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Omar Marquez Respondent Lawyers(s): Steven M. Wilker Arbitrator(s): O. Meredith Wilson, Joyce L. Tyler, Bert P. Krages Hearing Site: Portland, OR
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12-00427 | 01/28/2015 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Mary Cavanaugh-Marsh Respondent Lawyers(s): Mark D. Chester Arbitrator(s): George W. Harding Hearing Site: Phoenix, AZ
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13-00953 | 01/26/2015 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Robert Brooks Respondent Lawyers(s): Robert Jay Brooks Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos Hearing Site: Minneapolis, MN
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13-02007 | 11/26/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Matthew Westley Respondent Lawyers(s): Desmond P. Curran Arbitrator(s): Robert S. Sugarman Hearing Site: Chicago, IL
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11-02044 | 11/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Alex Bolshem Respondent Lawyers(s): Alex Bolshem Arbitrator(s): Sandra Gale Behrle Hearing Site: New York, NY
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14-00689 | 08/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Diane C. Fischer Respondent(s): Respondent Lawyers(s): Arbitrator(s): Susan L. Walker Hearing Site: Chicago, IL
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13-03694 | 06/24/2014 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Kris Stelzner Respondent Lawyers(s): Kris Stanley Stelzner Arbitrator(s): G. Marshall Abbey Hearing Site: Chicago, IL
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13-03159 | 04/29/2014 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): John Lee Respondent Lawyers(s): John Thomas Lee Arbitrator(s): James P. McCrocklin Hearing Site: Louisville, KY
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10-05180 | 02/25/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Allan Watt, Gloria Keimer, Lois Powell, Paula Czapko, Robert Ratcliff Respondent Lawyers(s): Diane C. Fischer, Robert L. Herskovits Arbitrator(s): Earle J. Schwarz, Robert E. Treadaway, Eric Ross Cromartie Hearing Site: Dallas, TX
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