| 11-02403 | 08/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Paul Westphal
Respondent Lawyers(s): Michael H. Schaalman
Arbitrator(s): Evonne A. Hurst, Donald V. Anderson, Charles Orlove
Hearing Site: Milwaukee, WI
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| 13-00714 | 05/23/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Nancy Hendrickson
Respondent(s): Daniel Micha
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Mark L Miller, Donald V. Anderson, Richard H. Porter
Hearing Site: Milwaukee, WI
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| 13-00456 | 05/15/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Steven Meyer
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
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| 13-03446 | 05/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): Todd Zaeske
Respondent Lawyers(s): Greeg Rzepczynski
Arbitrator(s): Donald W. McKenzie
Hearing Site: Milwaukee, WI
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| 12-03294 | 04/11/2014 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Kadletz, First Allied Securities.
Respondent Lawyers(s): Gregory C. Ward, Willard R. Knox
Arbitrator(s): Herbert S. Bratt, Susan H. Schleisner, Kimberly Ann Powers
Hearing Site: Milwaukee, WI
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| 13-01055 | 11/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Daniel Staples
Respondent Lawyers(s): Daniel Warren Staples
Arbitrator(s): James Miles Goodwin
Hearing Site: Milwaukee, WI
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| 12-01103 | 10/22/2013 | Claimant(s): Robert Fisher
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): William M. Getzoff, David J. Hase, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
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| 13-00127 | 09/26/2013 | Claimant(s): David Tansor
Claimant Lawyers(s): David A. Gehn
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Mitchell Lee Marinello
Hearing Site: Milwaukee, WI
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| 12-03652 | 07/25/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A Vollono
Respondent(s): Bruce Hutson
Respondent Lawyers(s): Bruce Parish Hutson
Arbitrator(s): Robert S. Sugarman
Hearing Site: Milwaukee, WI
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| 12-02310 | 04/25/2013 | Claimant(s): Christopher Hopkins
Claimant Lawyers(s): Marianna Cline
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Frank Samuelsohn, James F. Carlson, Evonne A. Hurst
Hearing Site: Milwaukee, WI
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