| 12-01023 | 05/10/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jocelyn Sears
Respondent Lawyers(s): Katherine T. Mize
Arbitrator(s): John A. Davis, Jack Chapline Vaughan, Brian James Tagtmeier
Hearing Site: Houston, TX
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| 12-03681 | 05/06/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keara K. Roethke
Respondent(s): Craig Buhr
Respondent Lawyers(s): Craig Joseph Buhr
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
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| 11-04652 | 05/03/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Paul Jacobs
Respondent Lawyers(s): Paul Joseph Jacobs
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
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| 12-03398 | 04/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Dylan Grayson
Respondent Lawyers(s): Dylan Patrick Grayson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 12-03539 | 03/12/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): William Selvaggi
Respondent Lawyers(s): William Selvaggi
Arbitrator(s): William Edward Buck
Hearing Site: Houston, TX
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| 11-04022 | 02/14/2013 | Claimant(s): Sunbelt Securities.
Claimant Lawyers(s): Robert M. Corn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Glen Silverstein
Arbitrator(s): Timothy L. Andrews, John Michael Watson, Ross D. Friend
Hearing Site: Houston, TX
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| 12-00299 | 02/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Fernando Castillo
Respondent Lawyers(s): Fernando Castillo
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
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| 12-00103 | 11/16/2012 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Emmett Johnson
Respondent Lawyers(s): Frank "Kim" Breese, III
Arbitrator(s): Bertrand C. Moser, Charles E. Munson, Leslie Bernard Jallans
Hearing Site: Houston, TX
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| 11-02273 | 11/08/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Charles Cooper
Respondent Lawyers(s): Nelson S. Ebaugh
Arbitrator(s): William R. Jonson
Hearing Site: Houston, TX
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| 10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Erik Littlejohn
Respondent Lawyers(s): Cynthia R. Levin Moulton
Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend
Hearing Site: Houston, TX
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