| 12-03807 | 02/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeff Lesniewicz
Respondent Lawyers(s): Brian H. Sanchez
Arbitrator(s): Jonathan B. Gilbert
Hearing Site: Chicago, IL
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| 11-03138 | 02/06/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Passalacqua
Respondent Lawyers(s): Frank A. Lightmas
Arbitrator(s): James G. Killough, Robert G. Brunton, Robert A. Dean
Hearing Site: Atlanta, GA
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| 12-00154 | 01/17/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Marshall
Respondent Lawyers(s): Randall K. Calvert
Arbitrator(s): Kelley L. Cornelius, David William Lopp, Thomas Bentley Baines
Hearing Site: Oklahoma City, OK
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| 10-05351 | 01/03/2014 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Kenneth A. Zimmern
Arbitrator(s): Phillip Lee Scheldt, Simeon R. Trotter, Earle J. Schwarz
Hearing Site: Dallas, TX
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| 13-01177 | 11/01/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Deane
Respondent Lawyers(s): Robert Searles Deane
Arbitrator(s): Tina E. Patterson
Hearing Site: Baltimore, MD
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| 11-02818 | 10/08/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Grant Andreasen
Respondent Lawyers(s): David W. Gutke
Arbitrator(s): David W. Dresnick
Hearing Site: Las Vegas, NV
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| 08-00680 | 10/04/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Gill
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Robert H. Hughes, Margaret Hotopp, Eileen Devaney Leo
Hearing Site: Hartford, CT
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| 12-01025 | 09/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Angela Keaveny
Respondent Lawyers(s): Angela Marie Keaveny
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 11-04606 | 09/24/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Pilla
Respondent Lawyers(s): Eric R. Breslin
Arbitrator(s): Gregory J. Getz
Hearing Site: New York, NY
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| 12-04293 | 07/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
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