| 12-01795 | 11/14/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Jane D. Lollis, Joseph Patrick Cottingham, Edward John O'Brien
Hearing Site: Louisville, KY
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| 12-03916 | 11/14/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Terrance Wilkerson
Respondent Lawyers(s): Kevin S. Wiley, Jr.
Arbitrator(s): James M. Tipton, Todd R. Gough, William A. Fynes
Hearing Site: Dallas, TX
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| 13-01863 | 11/14/2014 | Claimant(s): Barry Toole
Claimant Lawyers(s): Kristian P. Kraszewski
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): William F. Glaser, Thomas R. Carlsen, Shannon Nicole Boyd
Hearing Site: Tampa, FL
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| 11-02044 | 11/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Alex Bolshem
Respondent Lawyers(s): Alex Bolshem
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 13-03278 | 11/13/2014 | Claimant(s): Patrick Kelly
Claimant Lawyers(s): James C. MacGillis
Respondent(s): Sagepoint Financial., American International Group., SAI Deferred Compensation Holdings.
Respondent Lawyers(s): Corporate Office, Gregory M. Curley
Arbitrator(s): Kevin D. Hofman, Jo Anne F. Lewellen, Kathleen Sweeney Tillotson
Hearing Site: Minneapolis, MN
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| 14-01145 | 11/13/2014 | Claimant(s): David Hillard
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): John Hilliard, Sue Hauff
Respondent Lawyers(s): John E. Hilliard, Sue Hauff
Arbitrator(s): Jerry D. Mc Cormack, Arthur Richard Tow, Danielle L. Anderson
Hearing Site: Rapid City, SD
| | Expungement |
| 12-02099 | 11/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Cletus Emeziem
Respondent Lawyers(s): Cletus Enyinia Emeziem
Arbitrator(s): Harvey C. Flodin, Deana S. Peck, John Edward Perry
Hearing Site: Phoenix, AZ
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| 12-03992 | 11/12/2014 | Claimant(s): Nicholas Owoyemi
Claimant Lawyers(s): Nicholas Adelani Owoyemi
Respondent(s): Merrimac Corporate Securities.
Respondent Lawyers(s): Bob Nash
Arbitrator(s): Pamela H. Roderick, James N. Baxter, Elizabeth Elster Granville
Hearing Site: New York, NY
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| 13-03175 | 11/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Joseph J. Arata
Hearing Site: New York, NY
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| 13-03479 | 11/12/2014 | Claimant(s): Louis D'Andrea
Claimant Lawyers(s): James F. Keegan
Respondent(s): GMS Group Holdings Corp., The GMS Group
Respondent Lawyers(s): Matthew E. Lipman
Arbitrator(s): Edward W. Morris, Jay Alan Kranis, Erica Bunin
Hearing Site: Newark, NJ
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