| 10-04760 | 01/03/2014 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N Will
Respondent(s): Ronald Betten
Respondent Lawyers(s): Steven L. Miller
Arbitrator(s): Alan Stamm, Ronald L. Cameron, Larry Haugaard
Hearing Site: Los Angeles, CA
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| 11-00469 | 07/22/2013 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Trevor Rahn
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Alan Stamm, Gary Timothy Haight, Dean Schneider
Hearing Site: Los Angeles, CA
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| 10-04448 | 05/30/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Leopold Monaco
Respondent Lawyers(s): Leopold T. Monaco
Arbitrator(s): Alan Stamm, Alan S. Mevis, James H. Fehlberg
Hearing Site: Portland, OR
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| 10-05097 | 05/01/2013 | Claimant(s): Peter Prescott
Claimant Lawyers(s): David Harrison
Respondent(s): Financial Network Investment Corporation, The Leader Board
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Alan Stamm, James A. Sigler, Walter R. Whitman
Hearing Site: Los Angeles, CA
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| 10-05197 | 11/30/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Patrick Kohls
Respondent Lawyers(s): Kyle W. Wilcox
Arbitrator(s): Alan Stamm
Hearing Site: Albuquerque, NM
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| 11-00270 | 05/25/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Karen Paige aka Karen Sennes
Respondent Lawyers(s): Karen L. Paige aka Karen Sennes
Arbitrator(s): Alan Stamm
Hearing Site: San Diego, CA
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| 10-04156 | 01/28/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Christopher Wilson
Respondent Lawyers(s): Christopher J. Wilson
Arbitrator(s): Alan Stamm
Hearing Site: Atlanta, GA
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| 09-06520 | 08/24/2010 | Claimant(s): Wells Fargo Investments, Llc
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Donald Duarte
Respondent Lawyers(s): Donald A. Duarte
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
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| 05-05159 | 09/04/2008 | Claimant(s): Michael Holland, William Holland
Claimant Lawyers(s): Karen A. Batcher
Respondent(s): Wachovia Securities, Eugene Ingargiola
Respondent Lawyers(s): Joseph R. Becerra
Arbitrator(s): Alan Stamm, James H. Bowersox, Gerald F. Corrigan
Hearing Site: San Diego, CA
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