| 14-02373 | 03/12/2015 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Juan Rumayor
Respondent Lawyers(s): Juan Diego Rumayor
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
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| 14-02813 | 03/12/2015 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott Rahn
Respondent(s): F. Carter Newton
Respondent Lawyers(s): F. Carter Newton
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | Expungement |
| 14-00940 | 03/11/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Christopher Barber
Respondent Lawyers(s): Christopher R. Barber
Arbitrator(s): Cynthia A. DiMarco
Hearing Site: New York, NY
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| 07-00642 | 03/10/2015 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Phillip J. Campisi
Respondent(s): David Netkin
Respondent Lawyers(s): Joel M. Wertman
Arbitrator(s): Marvin Schleyer, Michael L.B. Kaplan, Robert Alan Mayer
Hearing Site: Newark, NJ
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| 13-02062 | 03/10/2015 | Claimant(s): Brian Lehner
Claimant Lawyers(s): Brian J Laliberte
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Eliott R. Good
Arbitrator(s): Richard W. Dissen, Mary K. Flask, Dieter Domanovic
Hearing Site: Cleveland, OH
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| 14-02966 | 03/10/2015 | Claimant(s): Patrick Turns
Claimant Lawyers(s): Robert V. Cornish
Respondent(s): Bob Breon, John Sampietro, Trestle Point
Respondent Lawyers(s): Robert A. McLean
Arbitrator(s): Kenneth M. Jackson
Hearing Site: Nashville, TN
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| 12-00376 | 03/09/2015 | Claimant(s): John Straus
Claimant Lawyers(s): Ross B. Intelisano
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Joseph F. Kelley, Farrell C. Glasser, Martin A. Edelstein
Hearing Site: New York, NY
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| 14-01758 | 03/09/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Keith Steel, Megan Steel, Anpei Lin, Community Property
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Loyd Paxton Derby, Carlos Richard Mangum, Laurel Littman Gothelf
Hearing Site: San Francisco, CA
| | Expungement |
| 14-00945 | 03/06/2015 | Claimant(s): William Jordan
Claimant Lawyers(s): Mary Kay Brown
Respondent(s): Sean Sweeney, Kildare Capital.
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): John J. Jordan, Robin David Bleecher, Buzz Adelman
Hearing Site: Philadelphia, PA
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| 14-01787 | 03/06/2015 | Claimant(s): Marc Wolff
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Richard S. Zaifert, Gayle B. Carlson, Sandra Dyne Sapp
Hearing Site: Tampa, FL
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