| 11-02404 | 11/22/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Benjamin Alexander, Wells Fargo Advisors Financial Network, Erica Fendlay
Respondent Lawyers(s): Christopher A. Pickett, Meredith Cavallaro, Thomas B. Lewis
Arbitrator(s): N. John Marinack, James J. Puhala, Peter Vincent Marcoline
Hearing Site: Pittsburgh, PA
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| 11-04100 | 10/23/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): William Perfett
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Frank C. Fogl
Hearing Site: Pittsburgh, PA
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| 12-00541 | 06/27/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Michael O'Donnell
Respondent Lawyers(s): Michael Joseph O'Donnell
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA
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| 10-04590 | 05/24/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Reim
Respondent Lawyers(s): Vicki Kuftic Horne
Arbitrator(s): Barry Goldman, Paul H. McKenna, James G. Kirk
Hearing Site: Pittsburgh, PA
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| 10-03275 | 04/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan Weinreich
Respondent(s): Grant Mellon
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA
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| 10-04207 | 09/16/2011 | Claimant(s): Harry Canavesi
Claimant Lawyers(s): Foster S. Goldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Jeffrey M. Bain, Douglas M. Branson, Wrally John Dutkiewicz
Hearing Site: Pittsburgh, PA
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| 10-04032 | 09/08/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Vincent Ross
Respondent Lawyers(s): Vincent Ross
Arbitrator(s): David Paul Clark
Hearing Site: Pittsburgh, PA
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| 09-07206 | 08/31/2011 | Claimant(s): Steven MacDonald
Claimant Lawyers(s): Joseph E. Altomare
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula Shaffner
Arbitrator(s): John W. Eichleay, Michael D. McDowell, Elena M. Colianni
Hearing Site: Pittsburgh, PA
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| 10-01130 | 08/05/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Vincent Ross
Respondent Lawyers(s): Vincent Ross
Arbitrator(s): Lee Hornberger, Justin Henry McCarthy, James G. Kirk
Hearing Site: Pittsburgh, PA
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| 10-04917 | 07/13/2011 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Ted Poulos
Respondent Lawyers(s): Ted Alex Poulos
Arbitrator(s): Roland L. Olzark
Hearing Site: Pittsburgh, PA
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