| 13-01956 | 02/12/2015 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ritchey Wetzel
Respondent Lawyers(s): Ritchey Wetzel
Arbitrator(s): Albert J. Haller
Hearing Site: Kansas City, MO
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| 14-00711 | 02/12/2015 | Claimant(s): Adam Fetterman, Sean Fetterman
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Bevery Jo Slaughter
Arbitrator(s): Elena G. Rodriguez, Kimberly A. Gilmour, Brian Darryl Buckstein
Hearing Site: Boca Raton, FL
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| 14-02799 | 02/12/2015 | Claimant(s): Robert Binkele
Claimant Lawyers(s): Robert J. Binkele
Respondent(s): John Yarbrough
Respondent Lawyers(s): John Edward Yarbrough
Arbitrator(s): Edward J. Costello
Hearing Site: Los Angeles, CA
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| 13-03028 | 02/11/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Genyou Hu
Respondent Lawyers(s): Kevin K. Tung
Arbitrator(s): Lise Gabrielle Hunter, Jerome M Shafer, Arthur M. Schoenberger
Hearing Site: New York, NY
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| 13-03433 | 02/11/2015 | Claimant(s): Nicholas Cacace
Claimant Lawyers(s): Nicholas Cacace
Respondent(s): MetLife Securities Inc
Respondent Lawyers(s): Wendy J. Mellk
Arbitrator(s): Joseph A. Vallo, Kenneth L. Stewart, John F. Duane
Hearing Site: New York, NY
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| 13-03438 | 02/11/2015 | Claimant(s): Patrick Broome
Claimant Lawyers(s): Whitman B. Johnson
Respondent(s): Paxton Farese, Sound Financial Strategies Group, The Farese Group
Respondent Lawyers(s): Mark D. Griffin, Patrick F. McAllister
Arbitrator(s): Richard C. Downing, Coleman Robert Perry, Onnig Hatchig Dombalagian
Hearing Site: Jackson, MS
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| 14-00675 | 02/10/2015 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Hartsook
Respondent(s): Noel Howe
Respondent Lawyers(s): Noel Alphonso Howe
Arbitrator(s): Susanne J. Hollander
Hearing Site: Orlando, FL
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| 12-01038 | 02/09/2015 | Claimant(s): Mark Soukup
Claimant Lawyers(s): Richard M. Gelb
Respondent(s): Regina Bolvin, Bolvin Wealth Management Group.
Respondent Lawyers(s): William Bernarduci
Arbitrator(s): Sandor I. Rabkin, Michael L. Letendre, Susan Largay
Hearing Site: Boston, MA
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| 12-03497 | 02/09/2015 | Claimant(s): Oriental Financial Services Corp.
Claimant Lawyers(s): Cassandra Voltaggio
Respondent(s): Jorge Maldonado
Respondent Lawyers(s): Eugenio C. Romero
Arbitrator(s): Nancy J. Cliff, Alberto G. Estrella, Rex D.K. Seymour
Hearing Site: San Juan, PR
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| 14-00012 | 02/09/2015 | Claimant(s): Hazielinda Ghazali-Cho
Claimant Lawyers(s): David Glod
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): John A. Goc, Robert J. Ambrogi, Melinda S. Milberg
Hearing Site: Boston, MA
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