| 15-00528 | 03/09/2016 | Claimant(s): Dennis Dai
Claimant Lawyers(s): Anna M. Rossi
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Sterling N. Frost, Mary H. Evans, John Burritt McArthur
Hearing Site: San Francisco, CA
| | $0 |
| 15-01407 | 03/09/2016 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Melissa Curvino
Respondent(s): Lawrence Lowe
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael H. DuBoff
Hearing Site: New York, NY
| | $0 |
| 13-02927 | 03/08/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Richard Hill
Respondent Lawyers(s): Richard Wayne Hill
Arbitrator(s): Arthur H. Geffen, Mark A. Myers, Edward J. Lynch
Hearing Site: Dallas, TX
| | $0 |
| 15-00934 | 03/08/2016 | Claimant(s): Jay Maltby
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Ray J. Grzebielski, James D. Adducci, Harry Edward Resis
Hearing Site: Chicago, IL
| | $0 |
| 15-03066 | 03/08/2016 | Claimant(s): Crews & Associates.
Claimant Lawyers(s): Lindsey K. Bell
Respondent(s): Anthony Henderson
Respondent Lawyers(s): Keith I. Billingsley
Arbitrator(s): Patrice L. Stewart, Eric Spencer Buchanan, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | $0 |
| 14-00249 | 03/04/2016 | Claimant(s): McDermott Investment Services
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Marilee Hill, Concorde Investment Services, The Estate of Chester Ju, The Estate of Shirley Jean Ju
Respondent Lawyers(s): Derek Domian, Gerry J. Kowalski, H. Thomas Fehn, Richard J. Rosensweig
Arbitrator(s): Anne Q. Uno, Jane A. Smith, Oliver P. Roche
Hearing Site: Washington, DC
| | $0 |
| 13-02697 | 03/03/2016 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Jeremy Wooden
Respondent(s): Kyle Hoffman
Respondent Lawyers(s): Martin Q. Ryan
Arbitrator(s): Michael E. Weddington
Hearing Site: Raleigh, NC
| | $0 |
| 13-02709 | 03/03/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Douglas Smith
Respondent Lawyers(s): Gregory D. Ellis
Arbitrator(s): Gene E. Carasick, Harry G. Mason, Brian Walsh Devlin
Hearing Site: Atlanta, GA
| | $0 |
| 14-00409 | 03/03/2016 | Claimant(s): Jacob Alpert
Claimant Lawyers(s): Blaine H. Bortnick
Respondent(s): Bernard Beal, M. R. Beal & Company
Respondent Lawyers(s): Anthony Loman, Bernard Beal
Arbitrator(s): Ira S. Cure, Donald Raymond McNally, Adelfa Ann Lugo
Hearing Site: New York, NY
| | $0 |
| 11-00248 | 03/02/2016 | Claimant(s): Meridian Equity Partners.
Claimant Lawyers(s): George Brunelle
Respondent(s): Joseph Niles, Casey Professional Services, Casey Securities
Respondent Lawyers(s): Michael P. Guta
Arbitrator(s): Stanley F. Meyerson, Madelyn A. Levy, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
