| 11-04285 | 01/16/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Doyle
Respondent Lawyers(s): Michael Britt Doyle
Arbitrator(s): Gary H. Kahn, Terri Coster Boesch, Ralph L. Jacobson
Hearing Site: San Francisco, CA
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| 14-01669 | 01/16/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan B. Butler
Respondent(s): Carlos Peyer
Respondent Lawyers(s): Carlos Luis Peyer
Arbitrator(s): Peter A. Portley
Hearing Site: Miami, FL
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| 14-02017 | 01/16/2015 | Claimant(s): Mickey McLellan
Claimant Lawyers(s): Mickey P. McLellan
Respondent(s): Peter Gouzos
Respondent Lawyers(s): Peter Alex Gouzos
Arbitrator(s): Peter A. Portley
Hearing Site: Boca Raton, FL
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| 13-03131 | 01/15/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Steve Marciniak
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Gordon M. Wase, John Joseph Borzi, Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
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| 14-01406 | 01/15/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Kevin Monaco
Respondent Lawyers(s): Kevin Michael Monaco
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 14-01778 | 01/15/2015 | Claimant(s): Thomas Barnett
Claimant Lawyers(s): Thomas F. Barnett
Respondent(s): Morgan Keegan & Company., Raymond, James & Associates.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): D. Bruce Shine
Hearing Site: Memphis, TN
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| 10-04093 | 01/13/2015 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Walter A. Saurack
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Joseph A. Forgione, Randolph Guggenheimer, Arthur Best
Hearing Site: New York, NY
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| 14-01098 | 01/13/2015 | Claimant(s): CliftonLarsonAllen Wealth Advisors
Claimant Lawyers(s): David P. Jendrzejek
Respondent(s): Jean Wolfe
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): Lawrence R. Commers, Terrence J. Fleming, Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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| 14-02216 | 01/12/2015 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): John Clancy
Respondent Lawyers(s): John Francis Clancy
Arbitrator(s): Randall S. Strause
Hearing Site: Louisville, KY
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| 11-01803 | 01/07/2015 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Leslie Wolfson
Respondent Lawyers(s): David Sternberg
Arbitrator(s): Herb Schwartz, Gary S. DeWeese, Edward J. Harkins
Hearing Site: San Francisco, CA
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