| 12-00068 | 01/31/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Avelino Cortina
Arbitrator(s): Harvey C. Flodin, Guenter S. Cohn, Jo-Ann C. Little
Hearing Site: San Diego, CA
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| 11-02448 | 12/07/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Francisco Martin
Respondent Lawyers(s): Francisco Jose Martin
Arbitrator(s): Harvey C. Flodin, Sidney Jacobsen
Hearing Site: San Diego, CA
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| 12-01545 | 09/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Allen
Respondent Lawyers(s): David L. Allen
Arbitrator(s): Peter D. Brennan
Hearing Site: San Diego, CA
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| 10-00375 | 08/03/2012 | Claimant(s): Chris Jones, Wealth Rescue Strategies.
Claimant Lawyers(s): Clifford B. Altfeld, Todd S. Neal
Respondent(s): David Wheless, Robert Thompson, Sally Thompson, First Texas Alliance Corporation, NuSource Financial Group
Respondent Lawyers(s): Leonard J. Meyer, Mitchell S. Ostwald
Arbitrator(s): Harvey C. Flodin, Gunnar Thowsen, Nancy J. Spieczny
Hearing Site: San Diego, CA
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| 11-01633 | 06/19/2012 | Claimant(s): John Paladino, Todd Vitale
Claimant Lawyers(s): Jon R. Williams
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Erin Connell
Arbitrator(s): Robert M. Lubin, Barry E. Kersh, Randall Brian Christison
Hearing Site: San Diego, CA
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| 10-03113 | 06/08/2012 | Claimant(s): Oliver Schwarz
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Citigroup Global Markets., Morgan Stanley, Citigroup Global Markets Holdings.
Respondent Lawyers(s): Scott L. Metzger, Shannon L. McDougald
Arbitrator(s): Barry E. Kersh, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
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| 12-00102 | 06/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Frank Guzman
Respondent Lawyers(s): Frank Jesus Guzman
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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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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| 11-03805 | 05/18/2012 | Claimant(s): William Macdonald
Claimant Lawyers(s): Theodore C. Peters
Respondent(s): Retirement Capital Group Securities
Respondent Lawyers(s): C. William Pollock
Arbitrator(s): Harvey C. Flodin
Hearing Site: San Diego, CA
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| 11-04477 | 05/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): William Lindgren
Respondent Lawyers(s): William Bood Lindgren
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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