| 12-01156 | 01/23/2013 | Claimant(s): William Glubiak
Claimant Lawyers(s): Sara E. Scott
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
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| 11-02078 | 11/09/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jerry M. Santangelo
Respondent(s): Robert McCulloch, Hunter Associates.
Respondent Lawyers(s): Lori Vinciguerra
Arbitrator(s): Edward L. Roth, Eugene M. Schloss, Lane Alan Montz
Hearing Site: Cleveland, OH
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| 10-01677 | 09/11/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
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| 10-02153 | 05/25/2012 | Claimant(s): P&M Corporate Finance
Claimant Lawyers(s): Raymond W. Henney
Respondent(s): Michael Paparella, Philip Gilbert, Plante & Moran, PLLC
Respondent Lawyers(s): Joseph N. Gross, Raymond W. Henney
Arbitrator(s): Gregory P. Szuter, Thomas H. Barnard, Jeffrey V. Gery
Hearing Site: Cleveland, OH
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| 08-04833 | 04/10/2012 | Claimant(s): Jeffrey Concepcion
Claimant Lawyers(s): Daniel M. Connell
Respondent(s): Lincoln Financial Advisors
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
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| 10-04400 | 01/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Ethan Braid, James Negrelli, Michael Lundon, Paul McCormack
Respondent Lawyers(s): Michael D. Lee, Robert J. Hanna
Arbitrator(s): Benjamin B. Segel, Daniel L. Bonder, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
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| 11-02095 | 01/12/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Harold Sheehan
Respondent Lawyers(s): Harold A. Sheehan
Arbitrator(s): Beth Rackley Hesselson
Hearing Site: Cleveland, OH
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| 10-02325 | 12/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Frank Bodi
Respondent Lawyers(s): Harry O. Channon
Arbitrator(s): Mitchell B. Goldberg
Hearing Site: Cleveland, OH
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| 11-03177 | 12/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): Christopher Guenther
Respondent Lawyers(s): Christopher R. Guenther
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
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| 10-05299 | 11/04/2011 | Claimant(s): Daniel Strebler
Claimant Lawyers(s): Bruce H. Wilson
Respondent(s): Morgan Stanley & Co., Morgan Stanley Financial Advisor
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
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