| 15-02303 | 03/18/2016 | Claimant(s): Securities America.
Claimant Lawyers(s): Chad Weaver
Respondent(s): Derek Miller
Respondent Lawyers(s): Derek Lee Miller
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: Los Angeles, CA
| | $0 |
| 15-02760 | 03/17/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Richard Ewalt
Respondent Lawyers(s): Richard Lee Ewalt
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | $0 |
| 15-02297 | 03/16/2016 | Claimant(s): Dennis Coral
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | $0 |
| 14-03548 | 03/11/2016 | Claimant(s): Moritz Mews
Claimant Lawyers(s): Brian Horwitz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes
Arbitrator(s): Thomas F. Shine
Hearing Site: Jacksonville, FL
| | $0 |
| 15-02383 | 03/11/2016 | Claimant(s): Mihai Szabo, MBS Source ETrading.
Claimant Lawyers(s): Mihai Szabo
Respondent(s): Ridgeway & Conger.
Respondent Lawyers(s): David A. Conti
Arbitrator(s): William Michael Samsel
Hearing Site: Seattle, WA
| | $0 |
| 14-03371 | 03/10/2016 | Claimant(s): John Chapman
Claimant Lawyers(s): Amy Hill
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Gerry A. Giurato
Arbitrator(s): Patricia Ann Tracey, Mitchell M. Willoughby, John G. Shamp
Hearing Site: Columbia, SC
| | $0 |
| 13-02432 | 03/09/2016 | Claimant(s): Brian Melbourne, Brian Shepherd
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joe Gehring
Arbitrator(s): Edward W. Morris, Carol Maria Luttati, Jon Martino
Hearing Site: New York, NY
| | $0 |
| 14-02268 | 03/09/2016 | Claimant(s): Charles Dyer
Claimant Lawyers(s): Robert G. McIver
Respondent(s): James Brown, Kirk Smith, Raymond James Financial Services.
Respondent Lawyers(s): Kenneth W. McAllister, Robert M. Rudnicki
Arbitrator(s): Charles S. Clayton, Richard E. Miley, Stephen Gregg Ellis
Hearing Site: Raleigh, NC
| | $0 |
| 14-03712 | 03/09/2016 | Claimant(s): David Levine
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
| 15-00072 | 03/09/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Christopher Smith
Respondent Lawyers(s): Christopher Ray Smith
Arbitrator(s): Nigel W. Sadd, James C. Hoover, Robert N. Kohn
Hearing Site: Birmingham, AL
| | $0 |
