| 15-01503 | 02/12/2016 | Claimant(s): Joseph Shimko
Claimant Lawyers(s): Craig D. Stein
Respondent(s): PNC Investments
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Mark C. Perry, Robert S. Natiss, Paul J. Burkhart
Hearing Site: Boca Raton, FL
| | $0 |
| 15-02803 | 02/12/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Gustavo Miramontes
Respondent Lawyers(s): Gustavo Santos Miramontes
Arbitrator(s): Kendall C. Reed
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00316 | 02/11/2016 | Claimant(s): Gopal Tampi
Claimant Lawyers(s): Daniel J. Kaiser
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Nancy Prahofer
Arbitrator(s): David S. Billet, Aubrey Lees, Kevin B. Naughten
Hearing Site: New York, NY
| | $0 |
| 15-01042 | 02/11/2016 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Travis McGregor
Respondent(s): Neil Okun
Respondent Lawyers(s): Neil Seth Okun
Arbitrator(s): John J. Vesey
Hearing Site: New York, NY
| | $0 |
| 14-02560 | 02/08/2016 | Claimant(s): Herbert Jablin
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Lawrence M. Green, James W. Geiger, Carl Henry Perdue
Hearing Site: Boca Raton, FL
| | $0 |
| 15-02359 | 02/08/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M Murray
Respondent(s): Michael Marceda
Respondent Lawyers(s): Michael Rocco Marceda
Arbitrator(s): Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 13-03223 | 02/05/2016 | Claimant(s): Nwakerendu Uche
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): George Sommerfeld, Lynne M. Reid-McQueen, Edward W. Morris
Hearing Site: New York, NY
| | $0 |
| 14-03432 | 02/05/2016 | Claimant(s): Jeffrey Howard
Claimant Lawyers(s): Hal J. Wood
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Mitchell Lee Marinello, John M. Kramer, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 15-01512 | 02/05/2016 | Claimant(s): Clancy Financial Services.
Claimant Lawyers(s): Donna Clancy
Respondent(s): Wedbush Securities Inc., Sean Trager
Respondent Lawyers(s): Mia Grandpre
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | $0 |
| 13-03608 | 02/02/2016 | Claimant(s): James Anglim
Claimant Lawyers(s): Sandra P. Lahens
Respondent(s): The Vertical Group
Respondent Lawyers(s): John Murphy
Arbitrator(s): Joseph N. Stineman, Anthony Dennis Perri, Patricia A. DeWitt
Hearing Site: New York, NY
| | $0 |
