| 14-00377 | 11/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Hamill Cantu
Respondent(s): Sidney Banks
Respondent Lawyers(s): Sidney Eugene Banks
Arbitrator(s): C. Sumpter Logan
Hearing Site: Little Rock, AR
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| 13-01720 | 11/24/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Mark Gillelen
Respondent Lawyers(s): Mark Calvin Gillelen
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 14-02391 | 11/21/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Robert Altemus
Respondent Lawyers(s): Robert Joseph Altemus
Arbitrator(s): Helen Marinak Blohm
Hearing Site: San Francisco, CA
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| 13-03044 | 11/20/2014 | Claimant(s): UBS Financial Services Inc., UBS AG
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Terence Reynolds
Respondent Lawyers(s): Francis M. Curran
Arbitrator(s): Arthur S. Joseph, Joseph I. Liebman, Ernesto Jose Mejer
Hearing Site: New York, NY
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| 14-00477 | 11/20/2014 | Claimant(s): Ilan Preis
Claimant Lawyers(s): Henry L. Saurborn, Jr.
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Walter A. Saurack
Arbitrator(s): Fern Sue Reidman
Hearing Site: New York, NY
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| 12-01883 | 11/19/2014 | Claimant(s): Anthony Locantore
Claimant Lawyers(s): Douglas J. Kinz
Respondent(s): SII Investments.
Respondent Lawyers(s): Roblyn Silvermintz
Arbitrator(s): Ellen R. Badinelli, Bernard M. Levine, Joseph Michael Dougherty
Hearing Site: Newark, NJ
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| 09-03573 | 11/18/2014 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Derek Delsimone, Robert Burpee
Respondent Lawyers(s): Jacqueline deSouza
Arbitrator(s): Michelle Judy Brant, Amy Seltzer, E. Duane Stephens
Hearing Site: San Francisco, CA
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| 14-00549 | 11/18/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian Stuart Cole
Respondent(s): Purshe Kaplan Sterling Investments
Respondent Lawyers(s): David M. Purcell
Arbitrator(s): Joseph J. Arata, John A. Astorina, Stuart L. Bass
Hearing Site: New York, NY
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| 14-00563 | 11/18/2014 | Claimant(s): Scott Weber
Claimant Lawyers(s): Brian D. Elias
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Robert A. Sauerberg, Kathy N. Novick, Carolyn E. Moore
Hearing Site: Boca Raton, FL
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| 13-03621 | 11/17/2014 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Erin K. Linehan
Respondent(s): Steven Wiltshire
Respondent Lawyers(s): Steven Fingerhut
Arbitrator(s): James W. Geiger
Hearing Site: Boca Raton, FL
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