| 12-01922 | 02/27/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brent Burrows
Respondent Lawyers(s): Otto K. Hilbert
Arbitrator(s): Mary C. Davis
Hearing Site: Denver, CO
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| 11-02340 | 09/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Michael Rooms
Respondent Lawyers(s): Michael Antoine Rooms
Arbitrator(s): Martin Mandel, Samuel E. Wing
Hearing Site: Denver, CO
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| 11-02325 | 08/30/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Trimbach
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Larry D. Hayden, Charles G. Michaels, Ronald L. Lantz
Hearing Site: Denver, CO
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| 12-00194 | 08/10/2012 | Claimant(s): Karen Crist
Claimant Lawyers(s): Karen J. Crist
Respondent(s): Michael Gaenzle, TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Andrew M. Habenicht
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
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| 11-00792 | 07/16/2012 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank N.A.
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Morgan Stanley, Timothy Soderquist
Respondent Lawyers(s): J. Scott Paul, John S. Lutz
Arbitrator(s): Bruce Brown, Edward F. Altman, Richard Djokic
Hearing Site: Denver, CO
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| 11-03333 | 07/11/2012 | Claimant(s): Beth Du Toit
Claimant Lawyers(s): Beth DuToit
Respondent(s): CIM Securities.
Respondent Lawyers(s): Andrew I. Friedman
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 11-00763 | 07/09/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Paul Beninati
Respondent Lawyers(s): Max P. Minnig
Arbitrator(s): Baldwin Ranson, Bernard A. Clark, Hunter Joseph von Unschuld
Hearing Site: Denver, CO
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| 10-03961 | 07/05/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Daniel Kammerer, Citigroup Global Markets., Citigroup Global Markets Holdings.
Respondent Lawyers(s): Erin E. Mac Avoy, Krista L. Tushar
Arbitrator(s): Howard R. Gaines, Gregory D. Thomas, Patricia Mary Vondra
Hearing Site: Denver, CO
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| 11-03947 | 06/21/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Wendy Warren
Respondent Lawyers(s): Wendy Collins Warren
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
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| 10-02253 | 03/27/2012 | Claimant(s): ICON Advisers., ICON Management & Research Corporation, Icon Distributors.
Claimant Lawyers(s): Bradford J. Lam, Donald Salcito
Respondent(s): Craig Callahan, Stephen Holmes, Adviser Dealer Services., Meeder Asset Management., Meeder Financial.
Respondent Lawyers(s): Darren Nadel, Derek Anderson, Stephen Abrams
Arbitrator(s): Bruce Brown, Edward F. Altman, Hazel E. Hanley
Hearing Site: Denver, CO
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