| 12-04033 | 01/30/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Thuli, Ellen Duhamel, Michael Shannon, Thomas Dornoff
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Gerald J. Thain
Hearing Site: Milwaukee, WI
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| 13-02527 | 01/29/2015 | Claimant(s): Arthur Caporale
Claimant Lawyers(s): Nancy L. Cavey
Respondent(s): Raymond James & Associates.
Respondent Lawyers(s): Tammie L. Rattray
Arbitrator(s): Maurice M. Feller, Pamela S. Townsend, Alfred Brunette
Hearing Site: Tampa, FL
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| 12-00427 | 01/28/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mary Cavanaugh-Marsh
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): George W. Harding
Hearing Site: Phoenix, AZ
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| 12-03014 | 01/28/2015 | Claimant(s): Peter Spinelli
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Michael Delikat
Arbitrator(s): Linda Ashley, Arthur H. Sobel, Leslie Ruth Nydick
Hearing Site: New York, NY
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| 13-01179 | 01/28/2015 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Aaron S. Furniss
Respondent(s): KeyBank National Association
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Laila Asmar Folk, William B. James, David Cottingham Mann
Hearing Site: Memphis, TN
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| 11-01203 | 01/26/2015 | Claimant(s): Jeffrey Rogers
Claimant Lawyers(s): Harvey C. Berger
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Timothy B. Del Castillo, Trish M. Higgins
Arbitrator(s): Herbert Murez, Nancy J. Spieczny, Vytas Tarulis
Hearing Site: San Diego, CA
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| 13-00518 | 01/26/2015 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): David Hanford, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): James A. Saville, Louis M. Lagalante
Arbitrator(s): Bernard M. Levine, Michael L. Moran, David J. Weisenfeld
Hearing Site: New York, NY
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| 13-00953 | 01/26/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos
Hearing Site: Minneapolis, MN
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| 14-01905 | 01/23/2015 | Claimant(s): Securities America.
Claimant Lawyers(s): Christina Heller
Respondent(s): Don Kizer
Respondent Lawyers(s): Don Freeman Kizer
Arbitrator(s): David M. Levine
Hearing Site: Columbia, SC
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| 10-01701 | 01/16/2015 | Claimant(s): Richard Finelli
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Eaton Vance Distributors.
Respondent Lawyers(s): Robert A. Buhlman
Arbitrator(s): Carolyn V. Quadt, Richard J. Stall, Russell T. Doe
Hearing Site: Los Angeles, CA
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