| 11-04216 | 04/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Christopher Hickman
Respondent Lawyers(s): Mark Hanna
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
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| 11-02033 | 08/30/2012 | Claimant(s): Jeannette Rosales
Claimant Lawyers(s): Harold D. Vicente-Colon
Respondent(s): Santander Securities
Respondent Lawyers(s): Massiel Bermudez Rios
Arbitrator(s): Steven Gerard Goerke, David P. Slater, Daniel P. Lund
Hearing Site: San Juan, PR
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| 10-04871 | 07/26/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Michelle Davis, Peter Bermont
Respondent Lawyers(s): Jeffrey R. Sonn, Ronald Shindler
Arbitrator(s): David P. Slater, Neil J. Berman, Rodolfo C. Angulo
Hearing Site: Miami, FL
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| 11-01080 | 11/14/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Jeffrey Farmer
Respondent Lawyers(s): Jeffrey Scott Farmer
Arbitrator(s): David P. Slater
Hearing Site: Orlando, FL
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| 10-00052 | 11/07/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Ariel Hernandez
Respondent Lawyers(s): Ariel Hernandez
Arbitrator(s): David P. Slater, Jerry A. Desiderio, Harris Gally
Hearing Site: Ft. Lauderdale, FL
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| 09-00260 | 02/26/2010 | Claimant(s): Timothy Leahy
Claimant Lawyers(s): Melanie S. Cherdack
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): John S. Lord
Arbitrator(s): David P. Slater, Gary F. Lang, James John Mougey
Hearing Site: Orlando, FL
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| 07-02068 | 04/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Javier Aviles, Banc of America Investment Services Inc.
Respondent Lawyers(s): David Brodie, Peter J. Aldrich
Arbitrator(s): David P. Slater, Mauricio Arcadier, Dorothy N. Johnson
Hearing Site: Boca Raton, FL
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