| 14-01946 | 04/30/2018 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Miguel Ballestas
Respondent Lawyers(s): Jarrod J. Malone
Arbitrator(s): Joel H. Holzer, Lawrence S. Silver, Herbert Branitsky
Hearing Site: Ft. Lauderdale, FL
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| 11-03929 | 03/04/2014 | Claimant(s): Andrew Miller
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gary M. Landau, Kathy N. Novick
Hearing Site: Ft. Lauderdale, FL
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| 12-03212 | 11/19/2013 | Claimant(s): Douglas Jones
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): Matthew Iak, Westmoreland Capital Corporation
Respondent Lawyers(s): Marissa A. Coheley
Arbitrator(s): Gloria O. North, Raymond W. Snow, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
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| 12-01481 | 08/13/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Jay Golden
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Gloria O. North, Mark I. Roth, Andrew R. Present
Hearing Site: Ft. Lauderdale, FL
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| 12-04171 | 07/02/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): David Kuffner
Respondent Lawyers(s): David G. Kuffner
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
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| 10-04635 | 03/04/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Paul Tanner
Respondent Lawyers(s): Jeffrey R. Sonn
Arbitrator(s): Gary W. Pollack, Mark I. Roth, Nikola Bjelajac
Hearing Site: Ft. Lauderdale, FL
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| 12-03432 | 02/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Glenn Berger
Respondent(s): David Price
Respondent Lawyers(s): David Craig Price
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
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| 12-01847 | 12/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Roger Haigney
Respondent Lawyers(s): Roger Gerard Haigney
Arbitrator(s): Richard S. Zaifert, Karen Z. Fischer, Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
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| 10-05360 | 09/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Bernard (Bob) L. Loring, Charles Hoffman, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
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| 11-02320 | 07/12/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Paul Saxenmeyer
Respondent Lawyers(s): Paul Saxenmeyer
Arbitrator(s): George J. Blutstein
Hearing Site: Ft. Lauderdale, FL
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