| 15-01778 | 05/06/2016 | Claimant(s): Peter Klein
Claimant Lawyers(s): David J. Butler
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Edward Baer, William G. Binckes, Howard L. Sobel
Hearing Site: New York, NY
| | $0 |
| 14-03110 | 05/05/2016 | Claimant(s): Kevin Logan
Claimant Lawyers(s): Kevin Logan
Respondent(s): HSBC Brokerage (USA) Inc.
Respondent Lawyers(s): John E. Kiley
Arbitrator(s): Arnold Wagner, Domitilia M. dos Santos, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 15-00395 | 05/04/2016 | Claimant(s): Swapnil Rege
Claimant Lawyers(s): Ethan Brecher
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Daniel S. Cahill
Arbitrator(s): Howard L. Sobel, Anna M. Fanelli, Paul George Huck
Hearing Site: New York, NY
| | $0 |
| 15-03306 | 05/04/2016 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Thipp Ratsaboutseua
Respondent Lawyers(s): Thipp Ratsaboutseua
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
| | $0 |
| 14-03207 | 05/03/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn Diamond Shaw
Respondent(s): Shane Kelly
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Gloria O. North, Richard H. Schneider, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | $0 |
| 15-02423 | 05/03/2016 | Claimant(s): Brad Kalas
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Howard A. Emirhanian, Jeffrey E. Skogsbergh, Robert Rosen
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00275 | 05/02/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Jason Dudley
Respondent Lawyers(s): Jason Loy Dudley
Arbitrator(s): Robert H. Putnam, Deborah A. Jackson, Julieta L Smith
Hearing Site: Atlanta, GA
| | $0 |
| 15-03439 | 05/02/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Jeff Thompson
Respondent Lawyers(s): Jeff D Thompson
Arbitrator(s): Sandor I. Rabkin
Hearing Site: Boston, MA
| | $0 |
| 16-00119 | 04/29/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Stephen Vaughan
Respondent Lawyers(s): Stephen A. Vaughan
Arbitrator(s):
Hearing Site: Houston, TX
| | $0 |
| 14-01448 | 04/26/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Scott Maloy
Respondent Lawyers(s): Scott D. Maloy
Arbitrator(s): Lawrence E. Little, Kay A. Johnson, CRCP, Clydia Jean Cuykendall
Hearing Site: Seattle, WA
| | $0 |
