| 12-02173 | 01/03/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Douglas Campbell
Respondent Lawyers(s): Douglas Walter Campbell
Arbitrator(s): John P. Cullem, Linda Fairchild, Margaret R. Hoyt
Hearing Site: Orlando, FL
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| 11-03330 | 12/19/2012 | Claimant(s): Joseph Dougherty
Claimant Lawyers(s): Michael Hill
Respondent(s): FS2 Capital Partners
Respondent Lawyers(s): Glenn A. Weiner
Arbitrator(s): Robert H. Nelson, Diana A. Weiner, John Winslow Griesser
Hearing Site: Orlando, FL
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| 11-04799 | 09/13/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): William Roberts
Respondent Lawyers(s): William Bryant Roberts
Arbitrator(s): John P. Cullem
Hearing Site: Orlando, FL
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| 11-04544 | 07/16/2012 | Claimant(s): Eduard Van Raay
Claimant Lawyers(s): Martin F. Gusy
Respondent(s): Raymond James Financial Services., Raymond James Financial Services Advisor
Respondent Lawyers(s): Ann M. Hensler
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
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| 09-05679 | 05/14/2012 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Jimmie Canole
Respondent Lawyers(s): Jimmie Dean Canole
Arbitrator(s): Gary M. Landau
Hearing Site: Orlando, FL
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| 10-02436 | 03/19/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Christopher Dickman
Respondent Lawyers(s): Christopher J. Dickman
Arbitrator(s): Charles W. Lavender
Hearing Site: Orlando, FL
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| 11-00697 | 02/24/2012 | Claimant(s): Jonathan DeJulio
Claimant Lawyers(s): Jonathan D. DeJulio
Respondent(s): Evan Shear, Walter Crossley
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): William H. Steinbrenner, Alun Hywel Jones, Alan E. Linden
Hearing Site: Orlando, FL
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| 10-01316 | 01/27/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Kenneth Hendrickson
Respondent Lawyers(s): Kenneth Hendrickson
Arbitrator(s): Cindy L. Anderson
Hearing Site: Orlando, FL
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| 11-02587 | 12/28/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Robert Wachholder
Respondent Lawyers(s): Wendy Byndloss
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
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| 11-00341 | 12/22/2011 | Claimant(s): Sean McGrover
Claimant Lawyers(s): Sean Patrick McGrover
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Fleming
Respondent Lawyers(s): Peter R. Rosenzweig
Arbitrator(s): Maurice M. Feller, Stephen A. Saker, Robert M. Bath
Hearing Site: Orlando, FL
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