| 12-03507 | 11/26/2013 | Claimant(s): US. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard A. Mosman, Kenneth O. Fossey, Kathy A. Tatone
Hearing Site: Minneapolis, MN
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| 13-01049 | 09/27/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Edward Grondahl
Respondent Lawyers(s): Edward Eric Grondahl
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
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| 13-00202 | 08/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Yana Kromo
Respondent(s): Denise Thornburgh
Respondent Lawyers(s): Denise L. Thornburgh
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 12-02792 | 06/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gregory Paine
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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| 10-05100 | 05/10/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Joselito Balintona
Respondent Lawyers(s): Joselito Balintona
Arbitrator(s): John P. Mazzitelli
Hearing Site: Minneapolis, MN
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| 12-03585 | 05/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): David Anderson
Respondent Lawyers(s): David Steven Anderson
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 12-01128 | 04/03/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Rachael Carp
Respondent(s): Amy Notermann
Respondent Lawyers(s): Amy Notermann
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
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| 12-03529 | 03/21/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Brenda Aslyn
Respondent Lawyers(s): Brenda R. Aslyn
Arbitrator(s): Emily B. Boote
Hearing Site: Minneapolis, MN
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| 10-05070 | 02/25/2013 | Claimant(s): Chad Wolsmann, Daniel Wood
Claimant Lawyers(s): Aaron R. Thom
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): John C. DeMoss, David F. Schmitz, Frank Edward Hermann
Hearing Site: Minneapolis, MN
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| 12-00192 | 02/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Allen Chaves
Respondent Lawyers(s): Allen Wayne Chaves
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
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