| 14-00012 | 02/09/2015 | Claimant(s): Hazielinda Ghazali-Cho
Claimant Lawyers(s): David Glod
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): John A. Goc, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
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| 14-01570 | 12/10/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Sheetal Parikh
Respondent(s): Brendan Frank
Respondent Lawyers(s): Brendan Perry Frank
Arbitrator(s): Peter J. Dale
Hearing Site: Boston, MA
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| 14-01478 | 10/24/2014 | Claimant(s): MSSB FA Notes Holdings LLC, Morgan Stanely Smith Barney LLC
Claimant Lawyers(s): Jonathan Berg
Respondent(s): William Almond
Respondent Lawyers(s): William Walter Almond
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
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| 13-03724 | 10/22/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Vietze
Respondent Lawyers(s): Richard Vietze
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 12-02619 | 08/22/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Dowd
Respondent Lawyers(s): David A. Conti
Arbitrator(s): Kelly M. Lonergan, Michael L. Letendre, James R. Collins
Hearing Site: Boston, MA
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| 12-01517 | 08/19/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jennifer R. O'Shea
Respondent(s): James Konaxis
Respondent Lawyers(s): James John Konaxis
Arbitrator(s): Richard J. Grahn
Hearing Site: Boston, MA
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| 12-01966 | 07/25/2014 | Claimant(s): Wayne Johnson
Claimant Lawyers(s): Philip A. Tracy
Respondent(s): Daniel Joyce, Robert Morey, Vernon Gibson, Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): John B. Kinsellagh, Michael L. Letendre, John J. Kenny
Hearing Site: Boston, MA
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| 11-04672 | 07/01/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Aaron Foley, Daniel Joyce, Joel Ravitz, Mark Minichiello, Moors & Cabot., Quincy Cass Associatesorporated
Respondent Lawyers(s): David L. Ward, Sylvia M. Scott, Timothy J. Perry
Arbitrator(s): Mary C. Kelleher, Stephen M. Acerra, Frank Sanclemente
Hearing Site: Boston, MA
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| 13-00845 | 05/01/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Timothy Lazcano
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): John B. Kinsellagh, Robert J. Ambrogi, Michael L. Letendre
Hearing Site: Boston, MA
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| 13-02643 | 03/13/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Matthew Kane
Respondent Lawyers(s): Matthew Kane
Arbitrator(s): Susan E. Maloney
Hearing Site: Boston, MA
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