| 14-00881 | 11/05/2014 | Claimant(s): Thomas Ferrara
Claimant Lawyers(s): Kathy M. Klock
Respondent(s): Park Avenue Securities LLC
Respondent Lawyers(s): Gordon F. Wylie
Arbitrator(s): Madelon M. Rosenfeld, Mitchell Jay Bayer, Michele S. Riley
Hearing Site: New York, NY
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| 12-02913 | 11/04/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Burt
Respondent Lawyers(s): David B. Gordon
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, Sylvia D. Stiller
Hearing Site: Boca Raton, FL
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| 13-00616 | 11/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Arturo Brook
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John F. Cordova, Ralph B. Perry, Steven A. Wawra
Hearing Site: Los Angeles, CA
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| 13-02238 | 11/04/2014 | Claimant(s): Allan Pinkus
Claimant Lawyers(s): Daniel M. Kennedy
Respondent(s): James Furnary
Respondent Lawyers(s): Irving Greenberg
Arbitrator(s): Nancy E. Watters, Brenda J. Stovall, Margaret Ann Dubil
Hearing Site: Baltimore, MD
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| 13-03606 | 11/04/2014 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Thomas Kelly
Respondent Lawyers(s): Andrew Laird
Arbitrator(s): Rafael A. Porrata-Doria, Fred M. Fleisher, David F. Griesing
Hearing Site: Philadelphia, PA
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| 13-03004 | 10/31/2014 | Claimant(s): Daniel Murphy
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gary Levitt
Respondent Lawyers(s): Gary E. Levitt
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
| | Expungement |
| 14-00770 | 10/31/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Gifford Crosby
Respondent Lawyers(s): Gifford Winston Crosby
Arbitrator(s): Louis M. Parker
Hearing Site: Phoenix, AZ
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| 13-00509 | 10/30/2014 | Claimant(s): Alex Vitale
Claimant Lawyers(s): Howard E. King
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Douglas W. Oldfield, Pamela S. Mann, Louis Anthony Napoli
Hearing Site: San Francisco, CA
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| 13-00877 | 10/30/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John K. Wells
Respondent(s): Matthew MacMichael
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Jim Geiger, David Marcus, Gregory J. Spadea
Hearing Site: Philadelphia, PA
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| 14-00333 | 10/30/2014 | Claimant(s): William Garnett
Claimant Lawyers(s): William J. Garnett
Respondent(s): David Moore, Stephen Smith, Clean Energy Capital Securities LLC
Respondent Lawyers(s): David M. Moore
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
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