| 12-02964 | 10/03/2014 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Jeffrey N. Goldberg
Respondent(s): Lawrence Digioia, Matthew Celenza
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Herbert Leslie Greenberg, Theresa Y. Hu, Richard J. Stall
Hearing Site: Los Angeles, CA
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| 13-02272 | 10/03/2014 | Claimant(s): Keith Clay
Claimant Lawyers(s): Reggie Copeland
Respondent(s): Edward Jones
Respondent Lawyers(s): Trish Martin
Arbitrator(s): Walter N. Vernon, Robert J. Bohle, Harold E. MacFarland
Hearing Site: St. Louis, MO
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| 14-00586 | 10/03/2014 | Claimant(s): Bill Tsevdos
Claimant Lawyers(s): Bill S. Tsevdos
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Robert A. Kaiser
Arbitrator(s): James M. Rhodes, Alan Gradzki, Robert Elliot Harrison
Hearing Site: New York, NY
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| 14-01388 | 10/03/2014 | Claimant(s): Joseph Gomes
Claimant Lawyers(s): Joseph Gomes
Respondent(s): Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky
Arbitrator(s): Sanford S. Stevens
Hearing Site: Albany, NY
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| 07-03369 | 10/02/2014 | Claimant(s): Andrew Gonchar, Polyvios Polyviou
Claimant Lawyers(s): Matthew B. Baum
Respondent(s): Allan Levine, Michael Schumacher, Ronald Moschetta, Strasbourger Pearson Tulcin Wolff Incorp
Respondent Lawyers(s): Mary Ellen O'Laughlin, Michael J. Schumacher, Ron Moschetta, Ronald Moschetta
Arbitrator(s): Arnold Wagner, Joel P. Mellis, Joshua Mark Zucker
Hearing Site: New York, NY
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| 12-03976 | 10/02/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Daniel Curkan
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Colleen Grace, Sharon Lee Chernin, Richard Kennard Hurley
Hearing Site: Tampa, FL
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| 14-00553 | 10/01/2014 | Claimant(s): Anthony Lodati
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Robert Peyser
Respondent Lawyers(s): Robert V. Cornish
Arbitrator(s): Michael T. Williams, Alyson R. Dachelet, Lisa Marie Macci
Hearing Site: Miami, FL
| | Expungement |
| 14-01731 | 10/01/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 13-02300 | 09/30/2014 | Claimant(s): Donna Sabb, George Adams
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Virginia Smith, Virginia M. Smith Irrevocable Trust
Respondent Lawyers(s): Pierson Backes
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-02922 | 09/30/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings LLC
Claimant Lawyers(s): David J. Sensenig
Respondent(s): Paul McCutchen
Respondent Lawyers(s): Denny Sumpter
Arbitrator(s): Earle J. Schwarz
Hearing Site: Little Rock, AR
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