| 10-05620 | 10/21/2011 | Claimant(s): Bruce Marks
Claimant Lawyers(s): Bruce W. Marks
Respondent(s): Cindy Deleo, Morgan Stanley DW Inc., Linda Cain, Timothy Adkins
Respondent Lawyers(s): Ronald H. Isroff
Arbitrator(s): Roger W. Van Deusen, Robert M Lustig, Daniel L. Bonder
Hearing Site: Cleveland, OH
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| 11-01819 | 10/19/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Jeffrey Tock
Respondent Lawyers(s): Jeffrey Scott Tock
Arbitrator(s): Frank C. Fogl
Hearing Site: Cleveland, OH
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| 10-04648 | 09/22/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): David Peters
Respondent Lawyers(s): Karl E. May
Arbitrator(s): Thomas R. Skulina
Hearing Site: Cleveland, OH
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| 10-01310 | 08/11/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Joseph Stanzi
Respondent Lawyers(s): Anthony J. Hartman
Arbitrator(s): Robert J. Scafuri, Thomas R. Skulina, Marianne L. Simpson
Hearing Site: Cleveland, OH
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| 10-05552 | 08/04/2011 | Claimant(s): Daniel Doyle
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Vincent T. Norwillo
Arbitrator(s): Thomas R. Skulina, Joseph Edelstein, Stephen M. Bales
Hearing Site: Cleveland, OH
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| 10-00806 | 07/19/2011 | Claimant(s): Steven Auxter
Claimant Lawyers(s): Jon J. Pinney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): James A. Laurenson, Gregory P. Szuter, Mary K. Flask
Hearing Site: Cleveland, OH
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| 10-04827 | 05/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Matthew Burnham
Respondent Lawyers(s): Matthew J Burnham
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
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| 11-00406 | 05/18/2011 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Lauren Lezak
Respondent(s): Peter Bonnell
Respondent Lawyers(s): Peter Joseph Bonnell
Arbitrator(s): Lee Hornberger
Hearing Site: Cleveland, OH
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| 09-03430 | 04/15/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Patrick Murray
Respondent Lawyers(s): W. Patrick Murray
Arbitrator(s): Jeffrey M. Bain, Truman M. Hogan, Frank C. Fogl
Hearing Site: Cleveland, OH
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| 09-06154 | 03/24/2011 | Claimant(s): Kevin Afnan
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bert S Cliff, Ellen Holland Keller, Robert M Lustig
Hearing Site: Cleveland, OH
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