| 14-02950 | 04/10/2015 | Claimant(s): AXA Advisors, AXA Network, L.L.C.
Claimant Lawyers(s): Matthew N. Thibaut
Respondent(s): Michael Mendelsohn
Respondent Lawyers(s): Michael Mendelsohn
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
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| 14-03105 | 04/10/2015 | Claimant(s): Joel Rogovin
Claimant Lawyers(s): Nicolis S. Singer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
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| 13-02723 | 04/09/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): James P. McLaughlin
Arbitrator(s): Barry Goldman, Barbara A. Johannessen, Anthony Allen Mogle
Hearing Site: Detroit, MI
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| 14-01099 | 04/08/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Douglas Gill
Respondent Lawyers(s): Douglas Joseph Gill
Arbitrator(s): Jane A. Smith
Hearing Site: Washington, DC
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| 14-02346 | 04/08/2015 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Guido
Respondent Lawyers(s): William Benton Guido
Arbitrator(s): George A. Sellnau
Hearing Site: New Orleans, LA
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| 13-02800 | 04/06/2015 | Claimant(s): Cage Carruthers
Claimant Lawyers(s): Charles D. Reaves
Respondent(s): Ari Litvin, Wachovia Securities
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Yvonia A. Foster, J. Maxwell Williams, William Graves Hardwick
Hearing Site: Memphis, TN
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| 14-01796 | 04/06/2015 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Elena G. Rodriguez, Robert J. Bender, Paul J. Burkhart
Hearing Site: Boca Raton, FL
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| 12-01006 | 04/02/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Omar Marquez
Respondent Lawyers(s): Steven M. Wilker
Arbitrator(s): O. Meredith Wilson, Joyce L. Tyler, Bert P. Krages
Hearing Site: Portland, OR
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| 13-00885 | 04/02/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Michael J. Fish, Nancy A. Yonge, Leonard Jeffrey Stecklow
Hearing Site: San Francisco, CA
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| 14-00499 | 04/02/2015 | Claimant(s): Benjamin F. Edwards & Company.
Claimant Lawyers(s): Joseph W. Anthony
Respondent(s): Janel Goff
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Bruce J. Nerland, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
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