| 11-04096 | 10/22/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brent Hardy
Respondent Lawyers(s): Brent Odell Hardy
Arbitrator(s): Stephen P. Hoffman, Richard Peabody Preston, Dana R. Krajack
Hearing Site: Columbia, SC
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| 11-00501 | 10/19/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicoli Grove
Respondent Lawyers(s): Kathleen A. DeLaney
Arbitrator(s): Joseph L. Claypool, Emily J. Lewis, John Andrew Wagner
Hearing Site: Indianapolis, IN
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| 10-03469 | 10/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Brad Feinstein
Respondent Lawyers(s): Max Folkenflik
Arbitrator(s): Walter M. Schackman
Hearing Site: New York, NY
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| 12-00345 | 09/25/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bryan Hall
Respondent Lawyers(s): Bryan McKinley Hall
Arbitrator(s): Jerome Nelson
Hearing Site: Baltimore, MD
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| 11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Sean Rhodes
Respondent Lawyers(s): Sean Collin Rhodes
Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy
Hearing Site: Chicago, IL
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| 11-01186 | 08/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Luetkemeyer
Respondent Lawyers(s): David Patrick Luetkemeyer
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, Murray S. Levin
Hearing Site: Kansas City, MO
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| 11-02706 | 08/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kimberly Rule
Respondent Lawyers(s): Tracey Edward Gajak
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
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| 11-01681 | 08/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Randall Fisher
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Dennis S. Boxeur, Michael E. Nelson, Van R. Oliver
Hearing Site: Wichita, KS
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| 08-01744 | 08/20/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Meier
Respondent Lawyers(s): Mark T. Butler
Arbitrator(s): Andrew G. Young, James George Timpa, Norman A. Samson
Hearing Site: Detroit, MI
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| 11-03441 | 08/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jameile Cawley
Respondent Lawyers(s): Edward Fergreus
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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