| 13-00772 | 07/24/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David W. Robinson
Respondent(s): Elissa Ward, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer A. Ermilio, Julia Green Sewruk
Arbitrator(s): Chesley Oriel
Hearing Site: Boston, MA
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| 12-02638 | 07/15/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Daniel Regan
Respondent Lawyers(s): Daniel Charles Regan
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
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| 13-00233 | 07/08/2013 | Claimant(s): Matthew Mcfarland
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Prudential Securities Incorporation
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Nancy E. Watters
Hearing Site: Boston, MA
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| 10-02178 | 05/21/2013 | Claimant(s): John Freund
Claimant Lawyers(s): Daniel S. Tarlow
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley Smith Barney Holdings, LL
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): B. J. Krintzman, Norman Foxman, John J. Mager
Hearing Site: Boston, MA
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| 12-00288 | 05/01/2013 | Claimant(s): Robert Fenyk
Claimant Lawyers(s): Norman E. Watts
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Morton S. Bunis
Hearing Site: Boston, MA
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| 11-03406 | 04/26/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Robert Quinn
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Brian J. Dunn
Hearing Site: Boston, MA
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| 09-00526 | 04/10/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Bert Gilbert
Respondent Lawyers(s): Bert J. Gilbert
Arbitrator(s): Stephen M. Acerra, Maxwell J. Mahoney, Dennis R. Surprenant
Hearing Site: Boston, MA
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| 12-03705 | 03/28/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): James R. Dyer
Respondent(s): Barbara Cantwell
Respondent Lawyers(s): Charles Kindregan
Arbitrator(s): June Y. Kilmarx, Charles A. Goglia, Richard D. Levin
Hearing Site: Boston, MA
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| 11-04254 | 02/26/2013 | Claimant(s): John Keating
Claimant Lawyers(s): John Patrick Keating
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Mary C. Kelleher, Brian J. Dunn, Michael L. Letendre
Hearing Site: Boston, MA
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| 11-01882 | 01/18/2013 | Claimant(s): Thomas Burger, Hamilton Financial. dba The Hamilto
Claimant Lawyers(s): Michael Unger
Respondent(s): Laura Peeke
Respondent Lawyers(s): Michael G. Donovan
Arbitrator(s): James A. Wills, Zenon Charles Tencza, Michael Jay Rich
Hearing Site: Boston, MA
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