| 14-01478 | 10/24/2014 | Claimant(s): MSSB FA Notes Holdings LLC, Morgan Stanely Smith Barney LLC
Claimant Lawyers(s): Jonathan Berg
Respondent(s): William Almond
Respondent Lawyers(s): William Walter Almond
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
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| 12-01876 | 10/23/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Steven Lavorando
Respondent Lawyers(s): Steven Mark Lavorando
Arbitrator(s): Mary Margaret Bush, Val D. Hornstein, Marilyn Burrill O'Toole
Hearing Site: San Francisco, CA
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| 13-00011 | 10/22/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
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| 13-01857 | 10/22/2014 | Claimant(s): Drew Doscher
Claimant Lawyers(s): A. Todd Merolla
Respondent(s): Michael Meagher, Michael Meyer, Stephen Smith, Armory Advisors, Armory Fund, LLP, Sea Port Group Securities, The Seaport Group, Seaport V
Respondent Lawyers(s): Ronald G. Blum
Arbitrator(s): Kevin B. Naughten, Michele S. Riley, Robert Francis Littlejohn
Hearing Site: New York, NY
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| 13-03724 | 10/22/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): Richard Vietze
Respondent Lawyers(s): Richard Vietze
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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| 13-00486 | 10/21/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Brian Burns, Christopher Kete, Michael Marchiano, William Shinners
Respondent Lawyers(s): Alan S. Brodherson, Michael S. Kasanoff
Arbitrator(s): Mitchell S. Friedman, Bertrand M. Lanchner, Chris P. Drucker
Hearing Site: Newark, NJ
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| 13-01438 | 10/21/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Christopher Bleuher
Respondent Lawyers(s): Catherine L. Rhodes
Arbitrator(s): Edward J. Costello, William E. Winfield, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
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| 13-02330 | 10/21/2014 | Claimant(s): George Adams
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Jamie Flack, William Flack
Respondent Lawyers(s): Peter B. King
Arbitrator(s): Langfred W. White
Hearing Site: Tampa, FL
| | Expungement |
| 14-01067 | 10/21/2014 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): S.W. Bach & Company
Respondent Lawyers(s): Scott Shapiro
Arbitrator(s): Annamaria Boccia Smith, John Clark Van Steen, James Alexander Brown
Hearing Site: New York, NY
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| 14-01582 | 10/20/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Stephen Ridgely
Respondent Lawyers(s): Stephen Eldridge Ridgely
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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