| 13-01868 | 10/10/2014 | Claimant(s): Afif Hossain
Claimant Lawyers(s): Jack M. Lovejoy
Respondent(s): Key Investment Services LLC
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Ronald E. Lorentsen, Roy J. Moceri, Lawrence E. Little
Hearing Site: Seattle, WA
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| 14-00489 | 10/10/2014 | Claimant(s): Thomas Salvino
Claimant Lawyers(s): James L. Kopecky
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Arthur Simon
Arbitrator(s): Stephen C. Esposito, Howard B. Silverman, Marcia Bonita Gevers
Hearing Site: Chicago, IL
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| 12-02484 | 10/09/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Ashley T. Hirano
Respondent(s): Bradley Schmitt
Respondent Lawyers(s): Kevin J. Mirch
Arbitrator(s): Thomas Erique DuVoisin, Michael D. Briggs, Robert E. Witt
Hearing Site: San Diego, CA
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| 13-03726 | 10/09/2014 | Claimant(s): Kenneth Brown
Claimant Lawyers(s): Kenneth William Brown
Respondent(s): TD Ameritrade Clearing., John Ricketts
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): G. Robert Abrams, Steven Gerard Goerke, Daniel Joseph Chiodo
Hearing Site: Boca Raton, FL
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| 14-00253 | 10/09/2014 | Claimant(s): Philip Schouweiler
Claimant Lawyers(s): Ken D. Schueler
Respondent(s): N.I.S. Financial Services.
Respondent Lawyers(s): Larry W. Joye
Arbitrator(s): Kevin D. Hofman
Hearing Site: Minneapolis, MN
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| 14-01781 | 10/09/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Peter B. Vaden
Hearing Site: Norfolk, VA
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| 13-02281 | 10/08/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory Tendrich
Respondent(s): James Tully
Respondent Lawyers(s): James Tully
Arbitrator(s): Mark R. Topper
Hearing Site: Orlando, FL
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| 14-01487 | 10/08/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 13-02543 | 10/06/2014 | Claimant(s): David Gordon
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): James Cox
Respondent Lawyers(s): Gabriella Moretti
Arbitrator(s): Peter Ordower, Sanford J. Prizant, Mark L Miller
Hearing Site: Chicago, IL
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| 14-00349 | 10/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Scott Thompson
Respondent Lawyers(s): Scott Alexander Thompson
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
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