| 14-00720 | 10/22/2015 | Claimant(s): Barbara Sellick
Claimant Lawyers(s): Barbara M. Sellick
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Teri L. Danish
Arbitrator(s): Jay Lawrence Witkin, Holly A. Hart, Joseph E. Mais
Hearing Site: Phoenix, AZ
| | $0 |
| 14-03428 | 10/22/2015 | Claimant(s): David Boor, Mark Steinberg
Claimant Lawyers(s): Jonathan M. Sterling
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David J. Butler
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
| | $0 |
| 15-00052 | 10/22/2015 | Claimant(s): Adam Vore
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Incapital LLC
Respondent Lawyers(s): Amy G. Doehring
Arbitrator(s): Bernard S. Carrey, Joel F. Martineau, Robert G. Geeseman
Hearing Site: Boca Raton, FL
| | $0 |
| 10-00540 | 10/21/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kirstin E. Muller
Respondent(s): Wedbush Securities Inc., Michael Hornkohl, Robert Brown
Respondent Lawyers(s): John Stenson
Arbitrator(s): David J. Romanski, Vincent J. Natoli, Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | $0 |
| 13-02751 | 10/21/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Travis Shannon
Respondent Lawyers(s): Travis Sherwood Shannon
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
| | $0 |
| 15-00757 | 10/21/2015 | Claimant(s): Michael Green
Claimant Lawyers(s): Michael J. Green
Respondent(s): MetLife Securities Inc.
Respondent Lawyers(s): Christina Teeter
Arbitrator(s): Carl B. Noelke
Hearing Site: San Francisco, CA
| | $0 |
| 15-00251 | 10/20/2015 | Claimant(s): Keith Steidle
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Nationwide Planning Associates Inc.
Respondent Lawyers(s): Michael J. Karalewich
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
| | $0 |
| 15-01070 | 10/20/2015 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Dominique E. Heller
Respondent(s): Rhonda Matthews
Respondent Lawyers(s): Rhonda Janeen Matthews
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | $0 |
| 13-03332 | 10/16/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Schmidt
Respondent(s): David Seigerman
Respondent Lawyers(s): David A. Seigerman
Arbitrator(s): Bernard M. Levine, Ariel Berschadsky, Roland E. Wyatt
Hearing Site: Newark, NJ
| | $0 |
| 11-01338 | 10/15/2015 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joel E. Davidson
Respondent(s): Daniel Bushey
Respondent Lawyers(s): Robert E. Manchester
Arbitrator(s): Cindy L. Anderson, Anne H. Orr, George Davenport
Hearing Site: Jacksonville, FL
| | $0 |
