| 12-00427 | 01/28/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mary Cavanaugh-Marsh
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): George W. Harding
Hearing Site: Phoenix, AZ
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| 14-00444 | 12/12/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 12-02099 | 11/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Cletus Emeziem
Respondent Lawyers(s): Cletus Enyinia Emeziem
Arbitrator(s): Harvey C. Flodin, Deana S. Peck, John Edward Perry
Hearing Site: Phoenix, AZ
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| 14-00770 | 10/31/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Gifford Crosby
Respondent Lawyers(s): Gifford Winston Crosby
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
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| 14-00843 | 08/18/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Humberto Sirvent
Respondent Lawyers(s): Humberto D. Sirvent
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 13-00075 | 08/12/2014 | Claimant(s): Johnny Burris
Claimant Lawyers(s): Nicholas Woodfield
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Robert S. McConnell, Katherine M. Harmeyer, Brian L Evans
Hearing Site: Phoenix, AZ
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| 13-01939 | 08/04/2014 | Claimant(s): Jessica Brown
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Richard L. Merkel
Hearing Site: Phoenix, AZ
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| 13-02334 | 07/14/2014 | Claimant(s): Jeffrey Smith, Joel Sheldon, Kozen Tsukamoto, Wayne Miiller
Claimant Lawyers(s): Wayne Ivan Miller
Respondent(s): J. Schultz, Longview Financial Group.
Respondent Lawyers(s): J. Stuart Schultz
Arbitrator(s): Katherine M. Harmeyer, Richard B. Bequette, Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
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| 13-02440 | 07/08/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Britt Lachemann
Respondent Lawyers(s): Britt Michael Lachemann
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
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| 13-01095 | 06/16/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Thomas Staley
Respondent Lawyers(s): Thomas Staley
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
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