| 15-00385 | 12/18/2015 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Kevin Kelly, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
| | $0 |
| 13-03449 | 12/17/2015 | Claimant(s): Richard Divenuto
Claimant Lawyers(s): James E. Heavey
Respondent(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Edward S. Bradley, David S. Billet, Clifford Matthew Olson
Hearing Site: New York, NY
| | $0 |
| 15-01897 | 12/17/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Geoffrey Murvin
Respondent Lawyers(s): Geoffrey Murvin
Arbitrator(s): Raymond E. Cornelius
Hearing Site: Orlando, FL
| | $0 |
| 15-01985 | 12/17/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Larry Boggs
Respondent Lawyers(s): Larry M. Boggs
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | $0 |
| 15-00843 | 12/16/2015 | Claimant(s): Susan Poller-Newman
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $0 |
| 14-01591 | 12/15/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Joseph Rizzo
Respondent Lawyers(s): Kevin C. Console
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Philadelphia, PA
| | $0 |
| 09-05466 | 12/14/2015 | Claimant(s): Michael Chrys
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Anthony Dinallo, Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): George F. Adams, Kenneth Dymond, John Carl Cirincion
Hearing Site: Albany, NY
| | $0 |
| 14-01677 | 12/14/2015 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Watt Webb
Respondent Lawyers(s): Eric M. Epstein
Arbitrator(s): Howard A. Emirhanian, Mark S. Priver, Martin J. Kotowski
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03868 | 12/14/2015 | Claimant(s): Kenneth Van Wagenen
Claimant Lawyers(s): Edward Gartenberg
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Stephen Young
Arbitrator(s): George H. Casey, Elliott David Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02770 | 12/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Christopher Gallo
Respondent Lawyers(s): Scott R. Shewan
Arbitrator(s): Barry A. Mainardi, Michael G. Clark, Michael John Florio
Hearing Site: Las Vegas, NV
| | $0 |
