| 14-00545 | 12/02/2014 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Suchitra Busch, Executive Wealth Management
Respondent Lawyers(s): David H. Jarvis, Tara E. Mahoney
Arbitrator(s): Peter S. Viviano, Tracy L. Allen, Charlene Johnson
Hearing Site: Detroit, MI
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| 14-01692 | 12/02/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John W. Stenson
Respondent(s): Jason Mininger
Respondent Lawyers(s): Jason Eric Mininger
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
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| 14-01730 | 12/02/2014 | Claimant(s): James O'Hora
Claimant Lawyers(s): Thomas P. O'Dea
Respondent(s): Dexter Blake, John Demartino, Laurence Allen, NYPPEX
Respondent Lawyers(s): Sonya T. Still
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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| 14-00921 | 12/01/2014 | Claimant(s): Thomas Wheeler
Claimant Lawyers(s): Jeff Kern
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mark D. Knoll
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
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| 13-03590 | 11/28/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Brian Murphy
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kathy A. Tatone, Robert D. Lawson, Mary Ellen McGinnis
Hearing Site: Minneapolis, MN
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| 13-02007 | 11/26/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Westley
Respondent Lawyers(s): Desmond P. Curran
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
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| 14-00190 | 11/26/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Peter Kim
Respondent Lawyers(s): Peter H. Kim
Arbitrator(s): Robert J. Ruben
Hearing Site: Los Angeles, CA
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| 14-01146 | 11/26/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): James Triguero
Respondent Lawyers(s): James Kevin Triguero
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
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| 14-01335 | 11/26/2014 | Claimant(s): John McHugh
Claimant Lawyers(s): Joshua D. Jones
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
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| 12-03380 | 11/25/2014 | Claimant(s): Brendan Lavelle
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Harry G. Mason, Anthony J. Carpinello, Alfred G. Feliu
Hearing Site: New York, NY
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