| 15-02041 | 12/24/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Michael Hampton
Respondent Lawyers(s): Michael Dennis Hampton
Arbitrator(s): John J. Flynn
Hearing Site: San Francisco, CA
| | $0 |
| 13-02816 | 12/23/2015 | Claimant(s): John Cartolano, NetVest Financial
Claimant Lawyers(s): Robert D. Mitchell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Howard W. Shannon, Douglas E. McArthur, Loren Scott Buell
Hearing Site: Phoenix, AZ
| | $0 |
| 13-03423 | 12/23/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig Stein
Respondent(s): Gustavo Caballero
Respondent Lawyers(s): W. Steven Adams
Arbitrator(s): Charles Hoffman, Dorota J. Trzeciecka, Sophia Ohanessian
Hearing Site: Miami, FL
| | $0 |
| 14-02588 | 12/23/2015 | Claimant(s): Nicholas Messore
Claimant Lawyers(s): Noah B. Peters
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Joyce A. Mitchell, Geoffrey A. Drucker, Frank Stanley Piotrkowski
Hearing Site: Washington, DC
| | $0 |
| 15-00728 | 12/23/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Luken Carp
Respondent(s): Gloria Farina
Respondent Lawyers(s): Gloria Lynn Farina
Arbitrator(s): Joseph J. Arata, Judith Fields Jurney, Henry Nguyen
Hearing Site: New York, NY
| | $0 |
| 15-01458 | 12/23/2015 | Claimant(s): John Kever
Claimant Lawyers(s): Susan A. Logsdon
Respondent(s): Bailey Bryan
Respondent Lawyers(s): Bailey Bryan
Arbitrator(s): G. Maynard Green, Larry N. Quinn, Gerald Ray Waterston
Hearing Site: Dallas, TX
| | $0 |
| 14-00644 | 12/22/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Scott Mills
Respondent Lawyers(s): Scott M. Garelick
Arbitrator(s): Philip I. McConnell, Richard C. Corse, G. Maynard Green
Hearing Site: Dallas, TX
| | $0 |
| 14-03592 | 12/21/2015 | Claimant(s): Ryan Coombs
Claimant Lawyers(s): Earle J. Schwarz
Respondent(s): Duncan-Williams.
Respondent Lawyers(s): Lori H. Patterson
Arbitrator(s): John G. Manley
Hearing Site: Memphis, TN
| | $0 |
| 15-01539 | 12/21/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Kristin Tuchman
Respondent Lawyers(s): Kristin A. Tuchman
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
| | $0 |
| 14-00538 | 12/18/2015 | Claimant(s): Barnett Chepenik, Jason Chepenik
Claimant Lawyers(s): David J. Freniere
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Janene M. Marasciullo
Arbitrator(s): Bernard Hornick, Stuart K. Furman, Denise Morris Hammond
Hearing Site: Orlando, FL
| | $0 |
