| 15-01357 | 11/11/2015 | Claimant(s): Dustin Leach
Claimant Lawyers(s): Nathaniel R. Wolf
Respondent(s): American Portfolios Financial Services,
Respondent Lawyers(s): Frank A. Tauches
Arbitrator(s): D. Michael Kratchman, Patrick R. Sughroue, Richard Edward Rassel
Hearing Site: Detroit, MI
| | $0 |
| 12-00691 | 11/10/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Bradley Lott
Respondent Lawyers(s): Mark L. Kowalsky
Arbitrator(s): Patrick R. Sughroue, James L. Karpen, William C. Alsover
Hearing Site: Detroit, MI
| | $0 |
| 12-01153 | 11/10/2015 | Claimant(s): Bradley Lott
Claimant Lawyers(s): Mark L. Kowalsky
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Samuel P. Mauch
Arbitrator(s):
Hearing Site: Detroit, MI
| | $0 |
| 12-04040 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Aric Kent
Respondent Lawyers(s): Marie C. Mirch
Arbitrator(s): Fred T. Kallet, James D. Knotter, Thomas J. Doherty
Hearing Site: San Diego, CA
| | $0 |
| 13-03273 | 11/10/2015 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Patricia G. Parthe, Louis M. Parker, Peter Joseph Kalman
Hearing Site: Phoenix, AZ
| | $0 |
| 14-02314 | 11/10/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Julie L. Taylor
Respondent(s): Kenneth Winn
Respondent Lawyers(s): Kenneth Allen Winn
Arbitrator(s): Carlos Richard Mangum, Thomas D. Reese, Fern M. Laethem
Hearing Site: San Francisco, CA
| | $0 |
| 14-02778 | 11/10/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Jesus Diaz
Respondent Lawyers(s): Jesus Hernando Diaz
Arbitrator(s): Anna M. Fanelli
Hearing Site: New York, NY
| | $0 |
| 14-03458 | 11/10/2015 | Claimant(s): Alfred Hovis
Claimant Lawyers(s): William Scott Turnbull
Respondent(s): Jeanne Mazza
Respondent Lawyers(s): Jeanie Mazza
Arbitrator(s): Stephen Kahane, Andrew Jay Kohan, Dennis R. Surprenant
Hearing Site: Boca Raton, FL
| | $0 |
| 14-03706 | 11/10/2015 | Claimant(s): Patrick Van Roten
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathryn D. Perreault
Arbitrator(s): Robert E. Anderson, Jeffrey Charles Rooney, Zung T. Nguyen
Hearing Site: New York, NY
| | $0 |
| 15-00566 | 11/10/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Judy Louie
Respondent(s): Timothy Barnard
Respondent Lawyers(s): Timothy Scott Barnard
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | $0 |
