| 13-01494 | 05/13/2016 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Andrea Morgan Greene
Respondent(s): Brian Anderson, Thomas Pewitt
Respondent Lawyers(s): Richard S. Frankowski
Arbitrator(s): Milton C. West, C. Sumpter Logan, James Edward Seale
Hearing Site: Birmingham, AL
| | $0 |
| 14-03648 | 05/13/2016 | Claimant(s): James Kenerson
Claimant Lawyers(s): Dan Druz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Evalyn Lipton Fishbein, Peter Andrew Marx, Jory E Berkwits
Hearing Site: Boston, MA
| | $0 |
| 12-00554 | 05/12/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Wells Fargo Advisors, David Kinnear
Respondent Lawyers(s): Gary I. Blackman
Arbitrator(s): G. Gale Roberson, Robert J. Larson, Rody P. Biggert
Hearing Site: Chicago, IL
| | $0 |
| 14-01676 | 05/12/2016 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John L. Erikson
Respondent(s): Stifel, Nicolaus & Co.., Gary Whinery
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Michael D. Weiner, Daniel B. MacLeod, John Robert Oreskovich
Hearing Site: Boise, ID
| | $0 |
| 16-00254 | 05/12/2016 | Claimant(s): UBS Financial Services Inc., UBS Credit Corp
Claimant Lawyers(s): James L. Komie
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Michael James Dinapoli
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $0 |
| 15-00164 | 05/11/2016 | Claimant(s): Oscar Artola
Claimant Lawyers(s): Oscar A. Artola
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Nolan
Arbitrator(s): James M. Rhodes, Steven Irving Platt, James Drew Butler
Hearing Site: Baltimore, MD
| | $0 |
| 14-02911 | 05/09/2016 | Claimant(s): Michael Ohlman
Claimant Lawyers(s): Jonathan C. Schwartz
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Brandy Pikus
Arbitrator(s): Patricia Gunn
Hearing Site: Tampa, FL
| | $0 |
| 15-03019 | 05/09/2016 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): David Glick
Respondent Lawyers(s): David M. Glick
Arbitrator(s): Randall S. Strause
Hearing Site: Cincinnati, OH
| | $0 |
| 15-03047 | 05/09/2016 | Claimant(s): Michele Kief
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Beverly Jo Slaughter
Arbitrator(s): Herbert Branitsky
Hearing Site: Boca Raton, FL
| | $0 |
| 15-00833 | 05/06/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alan Romero
Respondent Lawyers(s): Alan Michael Romero
Arbitrator(s): Charles G. Michaels
Hearing Site: Denver, CO
| | $0 |
