| 13-03776 | 05/21/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Matthew Ortman
Respondent Lawyers(s): Matthew John Ortman
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
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| 13-00875 | 09/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Haugen
Respondent Lawyers(s): James Haugen
Arbitrator(s): Benjamin L. Abramowitz
Hearing Site: Jacksonville, FL
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| 12-02060 | 08/26/2013 | Claimant(s): Craig Hulet
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Thomas F. Shine, Stuart S. Billington, Anne H. Orr
Hearing Site: Jacksonville, FL
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| 13-00143 | 08/22/2013 | Claimant(s): SII Investments.
Claimant Lawyers(s): Carlos E. Mustelier
Respondent(s): Gerald Plachta
Respondent Lawyers(s): Gerald Jeffry Plachta
Arbitrator(s): Stuart K. Furman
Hearing Site: Jacksonville, FL
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| 12-00108 | 04/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): William Braude
Respondent Lawyers(s): William Lincoln Braude
Arbitrator(s): Jack A. Helms
Hearing Site: Jacksonville, FL
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| 11-02124 | 02/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerard T. Rohrer
Respondent(s): Alexander Potenza
Respondent Lawyers(s): Alexander Potenza
Arbitrator(s): Richard W. Thornburg
Hearing Site: Jacksonville, FL
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| 11-00929 | 02/07/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Willard Phillips
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Arthur L. Sirkin, John Morris Hudson
Hearing Site: Jacksonville, FL
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| 10-01586 | 01/29/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Patricia Gleason
Respondent Lawyers(s): Patricia A. Gleason
Arbitrator(s): Cindy L. Anderson, Gerald Thomas Harper, Raymond E. Cornelius
Hearing Site: Jacksonville, FL
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| 12-02010 | 12/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Christopher Hudson
Respondent Lawyers(s): Christopher G. Hudson
Arbitrator(s): Jack A. Helms
Hearing Site: Jacksonville, FL
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| 12-02087 | 11/14/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Nicole Sharp
Respondent Lawyers(s): Nicole Malec Sharp
Arbitrator(s): Robert Finder
Hearing Site: Jacksonville, FL
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