| 12-02792 | 06/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gregory Paine
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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| 10-05591 | 03/14/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Ho
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicolas Castaneda
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Paul C. Bookidis, Paul A. Cash, Loren Scott Buell
Hearing Site: Phoenix, AZ
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| 11-04632 | 02/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rodger Thomas
Respondent Lawyers(s): Rodger E. Thomas
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
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| 11-01912 | 01/30/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Casey
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): James C. Morrow
Hearing Site: Kansas City, MO
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| 11-02849 | 01/15/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Lamonica
Respondent Lawyers(s): Joseph Anthony Lamonica
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
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| 12-00799 | 12/19/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Walton
Respondent Lawyers(s): Thomas Xavier Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
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| 10-00314 | 12/12/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Lane
Respondent Lawyers(s): Laura Noble
Arbitrator(s): Richard H. Potter, Michael J. Ahlstrom, Michael Lloyd Weisel
Hearing Site: Raleigh, NC
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| 11-01900 | 11/28/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Kapur
Respondent Lawyers(s): Paul K. Kapur
Arbitrator(s): Jack A. Marshall, Kelly M. Lonergan, John J. Kenny
Hearing Site: Boston, MA
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| 12-00205 | 11/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Brigden
Respondent Lawyers(s): William Scanlan Brigden
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
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| 10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Erik Littlejohn
Respondent Lawyers(s): Cynthia R. Levin Moulton
Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend
Hearing Site: Houston, TX
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