| 13-01889 | 09/16/2015 | Claimant(s): Cliff Shum
Claimant Lawyers(s): Sylvia M. Scott
Respondent(s): Edward Jones
Respondent Lawyers(s): Will P. Riffelmacher
Arbitrator(s): Philip Aaron Tymon, Homer L. Davis, Gary Kostow
Hearing Site: San Francisco, CA
| | $0 |
| 15-00221 | 09/16/2015 | Claimant(s): Brett Hina
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Lisa Catalano
Hearing Site: New York, NY
| | $0 |
| 14-00356 | 09/15/2015 | Claimant(s): Eden Falik
Claimant Lawyers(s): Rishi Bhandari
Respondent(s): BGC Financial, L.P.
Respondent Lawyers(s): Michael S. Popok
Arbitrator(s): Karen M. Cullen, Robert M. Goldstein, Harrison Johnson
Hearing Site: New York, NY
| | $0 |
| 14-01879 | 09/14/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Angela A. Turiano
Respondent(s): Thomas Buckley
Respondent Lawyers(s): Thomas Buckley
Arbitrator(s): Mary L. Merkle, Madelyn A. Levy, Linda Ashley
Hearing Site: New York, NY
| | $0 |
| 13-00965 | 09/11/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Victor Walker
Respondent Lawyers(s): Marcellous S. McZeal
Arbitrator(s): Bernard D. Hammer, Donald K. Eckhardt, Christine L. Stetson
Hearing Site: Houston, TX
| | $0 |
| 14-03808 | 09/11/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | $0 |
| 13-02644 | 09/09/2015 | Claimant(s): Matthew Cason
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): D. Bruce Shine, William T. Bowen, Leigh Ann Roberts
Hearing Site: Nashville, TN
| | $0 |
| 15-01047 | 09/09/2015 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Scott A. La Porta
Respondent(s): Henry Wasserman
Respondent Lawyers(s): Henry Edward Wasserman
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
| | $0 |
| 13-02861 | 09/08/2015 | Claimant(s): Gontran De Quillacq
Claimant Lawyers(s): Barry R. Lax
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): Howard D. Jacob, Linda Ashley, Ernesto Jose Mejer
Hearing Site: New York, NY
| | $0 |
| 13-02329 | 09/04/2015 | Claimant(s): Donna Sabb
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Austin Davis, Collette Davis, Deborah Davis, Jordan Davis
Respondent Lawyers(s): Deborah Davis, Scott A. Petri
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
| | $0 |
