| 15-03363 | 10/07/2016 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William McC. Montgomery
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 16-01122 | 10/07/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Douglas Galloway
Respondent Lawyers(s): Douglas John Galloway
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
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| 14-02982 | 09/27/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jennifer L. Tomsen, Tracy L. Gerber
Respondent(s): Audra Lalley
Respondent Lawyers(s): Michael A. Thurman
Arbitrator(s): Barbara M. Zak, Annette Gres Shepherd, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
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| 16-01227 | 09/26/2016 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): John D. Ellis
Respondent(s): Alina Brindusescu
Respondent Lawyers(s): Alina Brindusescu
Arbitrator(s): Richard J. Stall
Hearing Site: Los Angeles, CA
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| 16-00722 | 09/16/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas Kopshever
Respondent(s): David Fahey
Respondent Lawyers(s): David John Fahey
Arbitrator(s): Michael John Florio
Hearing Site: Los Angeles, CA
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| 15-01391 | 08/26/2016 | Claimant(s): John Nahas
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Nationwide Investment Services Corp
Respondent Lawyers(s): John L. Viola
Arbitrator(s): Richard M. Norman, Steven J. Feldman
Hearing Site: Los Angeles, CA
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| 15-02670 | 08/22/2016 | Claimant(s): Sean Hunter
Claimant Lawyers(s): Sean S Hunter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Janell M. Ahnert
Arbitrator(s): Herbert Leslie Greenberg, Anthony D. DeToro, Noel Harvey Applebaum
Hearing Site: Los Angeles, CA
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| 14-01044 | 08/04/2016 | Claimant(s): Kenneth Blumenfeld
Claimant Lawyers(s): Marc I. Zussman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Jeffrey E. Skogsbergh, Susan B. Gans-Smith, Bruce Leslie Ishimatsu
Hearing Site: Los Angeles, CA
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| 16-00854 | 08/01/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Michael Becking
Respondent Lawyers(s): Michael Allen Becking
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 16-00641 | 07/14/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E Murtagh
Respondent(s): Jesse Smith
Respondent Lawyers(s): Jesse Derek Smith
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
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