| 16-03228 | 12/18/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): Kelley Sullivan
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
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| 17-00539 | 12/12/2017 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Pritchard
Respondent Lawyers(s): John Kenneth Pritchard
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 17-01312 | 12/06/2017 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Gordon Brown
Respondent Lawyers(s): Gordon Kenneth Brown
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
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| 15-01204 | 12/01/2017 | Claimant(s): John Mulcahy
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Joseph Gieker, Keith Gregg, Capital Guardian
Respondent Lawyers(s): Sandro L. Ramos, Tina El Fadel
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
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| 16-02036 | 11/29/2017 | Claimant(s): Michael Ratner, UBS Credit Corp.
Claimant Lawyers(s): Arthur C. Koski, Michael D. Lee
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael D. Lee
Arbitrator(s): James W. Geiger, Leonard Michael Cusano, Andrew F. Greitz
Hearing Site: Boca Raton, FL
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| 17-00373 | 11/21/2017 | Claimant(s): Jeremy Gottlieb
Claimant Lawyers(s): Adam D. Palmer
Respondent(s): First Allied Securities.
Respondent Lawyers(s): Jeremy Wooden
Arbitrator(s): William Kent Brown, William E. Schneider, Alisa Matire
Hearing Site: Boca Raton, FL
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| 16-02573 | 11/20/2017 | Claimant(s): Cheryl Coble
Claimant Lawyers(s): Robert K. Michael
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patrick J. Mulligan
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 17-00472 | 10/31/2017 | Claimant(s): David Bass
Claimant Lawyers(s): John Stewart
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Kimberly Gustafson
Arbitrator(s): David G. Pittinos, Alvin Abraham Simon, Nanci Sondra Landy
Hearing Site: Boca Raton, FL
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| 16-03398 | 10/27/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Philip Staff
Respondent Lawyers(s): Philip Jameson Staff
Arbitrator(s): William E. Schneider
Hearing Site: Boca Raton, FL
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| 16-03615 | 10/27/2017 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Mitchell Yanow
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
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