| 11-04736 | 04/05/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Kaream White
Respondent Lawyers(s): Kaream Hassan White
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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| 10-05591 | 03/14/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Ho
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicolas Castaneda
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Paul C. Bookidis, Paul A. Cash, Loren Scott Buell
Hearing Site: Phoenix, AZ
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| 12-00911 | 03/14/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Donald Zienty
Respondent Lawyers(s): Donald Matthew Zienty
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
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| 11-02089 | 02/26/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lee Brown
Respondent Lawyers(s): Lee Kim Brown
Arbitrator(s): Robert S. McConnell, Lanny M. Leff, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
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| 12-00851 | 02/12/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Matthew Kofron
Respondent Lawyers(s): Matthew Mark Kofron
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
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| 11-03134 | 01/22/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Lloyd Church
Respondent Lawyers(s): David J. Hase
Arbitrator(s): John J. Balitis, Jay Lawrence Witkin, Stephanie P. Lebhar
Hearing Site: Phoenix, AZ
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| 12-02192 | 12/20/2012 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Todd Fritz
Respondent Lawyers(s): Todd Allen Fritz
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
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| 12-01834 | 11/16/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Steven Castro
Respondent Lawyers(s): Steven Brian Castro
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
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| 11-04611 | 08/08/2012 | Claimant(s): United Planners' Financial Services of A
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Donald Bartelt
Respondent Lawyers(s): Donald Bartelt
Arbitrator(s): Patricia G. Parthe
Hearing Site: Phoenix, AZ
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| 11-02090 | 08/02/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Turner
Respondent Lawyers(s): James Turner
Arbitrator(s): Deborah C. Bernot, Stephanie P. Lebhar, Robert Miller Lawder, CLU
Hearing Site: Phoenix, AZ
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