| 13-03716 | 06/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Andrew Spivey
Respondent Lawyers(s): Andrew G. Spivey
Arbitrator(s): Herb Schwartz, Gary A. Hooker, Susan J. Alexander
Hearing Site: San Francisco, CA
| | $0 |
| 14-02562 | 06/16/2015 | Claimant(s): Janet Muto
Claimant Lawyers(s): Janet A. Muto
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Will Murphy
Hearing Site: Boca Raton, FL
| | $0 |
| 15-00457 | 06/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Steven Colvin
Respondent Lawyers(s): Steven Lloyd Colvin
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | $0 |
| 14-00632 | 06/15/2015 | Claimant(s): Shahid Karim
Claimant Lawyers(s): Lottie Cohen
Respondent(s): Citigroup Global Markets., Citi Bank, NA
Respondent Lawyers(s): Benjamin A. Tulis, Theresa M. Marchlewski
Arbitrator(s): Mark S. Priver, Richard J. Stall, Christopher L. Mass
Hearing Site: Los Angeles, CA
| | $0 |
| 14-03399 | 06/15/2015 | Claimant(s): Bradley Reifler
Claimant Lawyers(s): Gregory L. Smith
Respondent(s): Pali Capital.
Respondent Lawyers(s): Daniel J. Reiser
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
| | $0 |
| 11-02334 | 06/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Brian McCafferty
Respondent Lawyers(s): Dan Druz
Arbitrator(s): Alan Shaw, Edith M. Novack, David Morris Weiss
Hearing Site: Newark, NJ
| | $0 |
| 14-00415 | 06/09/2015 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Willard Kelly
Respondent Lawyers(s): J Thomas Jones
Arbitrator(s): James P. McCrocklin, Jeffrey M. Bain, John Andrew Johnson
Hearing Site: Nashville, TN
| | $0 |
| 13-02875 | 06/05/2015 | Claimant(s): Christopher Wright
Claimant Lawyers(s): David B. Helms
Respondent(s): Northwestern Mutual Investment Services,, Northwestern Mutual Life Insurance Co.
Respondent Lawyers(s): Stefan R. Dandelles
Arbitrator(s): Gerald Cohen, Joseph V. Simeri, Julie L. DeWitt
Hearing Site: St. Louis, MO
| | $0 |
| 14-01380 | 06/05/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
| | $0 |
| 14-03406 | 06/04/2015 | Claimant(s): David Reiser, Robert Dicolo
Claimant Lawyers(s): David Hantman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Robert J. Ambrogi
Hearing Site: Providence, RI
| | $0 |
