| 11-02849 | 01/15/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Lamonica
Respondent Lawyers(s): Joseph Anthony Lamonica
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
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| 11-01900 | 11/28/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Kapur
Respondent Lawyers(s): Paul K. Kapur
Arbitrator(s): Jack A. Marshall, Kelly M. Lonergan, John J. Kenny
Hearing Site: Boston, MA
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| 12-02540 | 11/16/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Zhe Li
Respondent Lawyers(s): Zhe Li
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 12-01738 | 10/19/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Harry Davis
Respondent Lawyers(s): Patrick J. Dolan
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
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| 10-04605 | 10/11/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Carlene Veara
Respondent Lawyers(s): Carlene B. Veara
Arbitrator(s): June Y. Kilmarx
Hearing Site: Boston, MA
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| 11-00595 | 10/05/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill Clarke
Respondent(s): Hilary O'Malley, Kevin O'Malley
Respondent Lawyers(s): Hilary Elizabeth O'Malley, Kevin James O'Malley
Arbitrator(s): Dallas Whitney Coffman, Tom L. Peterson, William I. Carmen
Hearing Site: Boston, MA
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| 11-02084 | 09/27/2012 | Claimant(s): Richard Dumont
Claimant Lawyers(s): Peter M. Bizinkauskas
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Michael H. Gibson
Arbitrator(s): Sandor I. Rabkin, John Joseph Cotter, Frank Sanclemente
Hearing Site: Boston, MA
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| 11-03937 | 09/21/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Brian Wilder, Morgan Stanley
Respondent Lawyers(s): Michael L. Chinitz
Arbitrator(s): John B. Kinsellagh, Stephen M. Acerra, Paul A. Auerbach
Hearing Site: Boston, MA
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| 11-04150 | 09/19/2012 | Claimant(s): Frederick Blanchard
Claimant Lawyers(s): John T. Martin
Respondent(s): Bostonia Global Securities
Respondent Lawyers(s): Joseph P. Lombardo
Arbitrator(s): Chesley Oriel, Dennis M. Cronin, Susan E. Maloney
Hearing Site: Boston, MA
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| 10-04080 | 09/11/2012 | Claimant(s): Lehman Brothers Holdings Inc. as assigne
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Robert Reilly
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Robert Pincus, Barbara-Ann Boehler, Steven S. Manos
Hearing Site: Boston, MA
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