| 14-00734 | 09/18/2014 | Claimant(s): Philip Bresnick
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Pauline Newman
Respondent Lawyers(s): Pauline Newman
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01760 | 09/17/2014 | Claimant(s): Duke Kim
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Nomura Securities International.
Respondent Lawyers(s): Michael B. Roth
Arbitrator(s): Robert J. Kheel, Larry H. Irom, Jack Friedman
Hearing Site: New York, NY
| | |
| 14-00713 | 09/17/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John Stenson
Respondent(s): Michael Odonohue
Respondent Lawyers(s): Michael Odonohue
Arbitrator(s): Bernard M. Levine
Hearing Site: New York, NY
| | |
| 12-03816 | 09/16/2014 | Claimant(s): Harold Palacios
Claimant Lawyers(s): Harold Palacios
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Theresa M. Marchlewski
Arbitrator(s): Blaine Smith, Mark S. Priver, Kenneth E. Owen
Hearing Site: Los Angeles, CA
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| 14-00105 | 09/15/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Dennis Dixon
Respondent Lawyers(s): Dennis Crowder Dixon
Arbitrator(s): Bill Swinford
Hearing Site: Louisville, KY
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| 14-01727 | 09/12/2014 | Claimant(s): Benjamin Pace, Lawrence Weissman
Claimant Lawyers(s): Kevin Reed
Respondent(s): David Jumper, Deutsche Bank Securities., Jessica Farrell, Lindsey Nadel, Neza Bevc, Patrick Murray, Quinn Portfolio, Steven Kurosko, Deutsche Bank Trust Company Americas, Deutsche Bank Trust Corporation, Deutsche Investment Management Americas,
Respondent Lawyers(s): Howard Elman, John Siegel, Kevin Reed
Arbitrator(s): Catherine I. Gulevich, Sonja Tennille Orgias, Antonio Olivero
Hearing Site: New York, NY
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| 13-02904 | 09/11/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes Hol, Morgan Stanley Smith Barney LLC
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Jay Serniak
Respondent Lawyers(s): Jonathan D. Berg
Arbitrator(s): Keely D. Parr
Hearing Site: New York, NY
| | |
| 14-01046 | 09/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Eric Ruth
Respondent Lawyers(s): Eric Martin Ruth
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
| | |
| 14-02078 | 09/11/2014 | Claimant(s): Stephen Wormeli
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 13-01854 | 09/09/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Wai Kee Chan
Respondent Lawyers(s): Joe Gehring, Peter M. Vial
Arbitrator(s): Mary Margaret Bush, Gerald Joseph Wilfley, Urs Laeuchli
Hearing Site: Honolulu, HI
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