| 15-01630 | 01/07/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Christopher Baughan
Respondent Lawyers(s): Christopher Mark Baughan
Arbitrator(s): John Francis Markuns
Hearing Site: Providence, RI
| | $0 |
| 15-01806 | 01/07/2016 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Caryn D. Shaw
Respondent(s): Cynthia Wadkinson
Respondent Lawyers(s): Cynthia Lynn Wadkinson
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
| | $0 |
| 15-02292 | 01/07/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Edward Painter
Respondent Lawyers(s): Edward Painter
Arbitrator(s): Jay Alan Kranis
Hearing Site: New York, NY
| | $0 |
| 14-02715 | 01/05/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Notes Holdings LLC
Claimant Lawyers(s): Elio F. Martinez
Respondent(s): Otto Walter
Respondent Lawyers(s): W. Andrew Clayton
Arbitrator(s): Mimi B. Osiason, Jack A. Helms, Steven Zerbarini
Hearing Site: Tampa, FL
| | $0 |
| 15-00346 | 01/04/2016 | Claimant(s): Feltl and Company
Claimant Lawyers(s): Thomas F. Steichen
Respondent(s): Brian Czupek
Respondent Lawyers(s): Michael S. Davis
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 14-01957 | 12/31/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Ramon Hache
Respondent Lawyers(s): David B. Friedrich
Arbitrator(s): Howard J. Stiefel, Linda Ashley, Mary P. Bass
Hearing Site: New York, NY
| | $0 |
| 14-03158 | 12/31/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Amy Osberg Roberts
Respondent(s): Clifton Roberts
Respondent Lawyers(s): Clifton H. Roberts
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | $0 |
| 15-00851 | 12/31/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Jeffrey Rehling
Respondent Lawyers(s): Jeffrey Allen Rehling
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | $0 |
| 15-01235 | 12/31/2015 | Claimant(s): Andrew Worthington, Thomas Lips
Claimant Lawyers(s): Lawrence E. Fenster
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth Crowley
Arbitrator(s): Lincoln W. Craighead, Robert E. Anderson, Marissa A. Santangelo
Hearing Site: Hartford, CT
| | $0 |
| 15-01972 | 12/31/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): William Siegel
Respondent Lawyers(s): William V. Siegel
Arbitrator(s): S. Charles Tabak
Hearing Site: New York, NY
| | $0 |
