| 13-02724 | 09/09/2014 | Claimant(s): John Griff, Thomas Hughes
Claimant Lawyers(s): Kathleen Peratis, Shirley Lin
Respondent(s): Gleacher & Company Securities., Gleacher & Company.
Respondent Lawyers(s): Jacob Johnson
Arbitrator(s): Michael E. Olney, Joseph B. Russell, Robert S. Getman
Hearing Site: New York, NY
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| 14-00570 | 09/09/2014 | Claimant(s): Josef Najar
Claimant Lawyers(s): David Robbins
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Theodore R. Snyder
Arbitrator(s): Martin Jay Siegel, George Sommerfeld, Carol Maria Luttati
Hearing Site: New York, NY
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| 13-02762 | 09/08/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): James Price
Respondent Lawyers(s): James Trent Price
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
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| 09-03572 | 09/05/2014 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald Kane
Respondent(s): Arthur Mitsutome
Respondent Lawyers(s): Jacqueline DeSouza
Arbitrator(s): Helen Marinak Blohm, Robin Lynn Berry, Rahul K. Surana
Hearing Site: San Francisco, CA
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| 14-00501 | 09/05/2014 | Claimant(s): Ian Cole
Claimant Lawyers(s): Ian Cole
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Jay Marc Israel
Arbitrator(s): Catherine Ladnier, Leona Beane, Edward W. Morris
Hearing Site: New York, NY
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| 13-00462 | 09/03/2014 | Claimant(s): Alan Valenca
Claimant Lawyers(s): Jeffrey R. Mazer
Respondent(s): Dennis Sain, The Newport Group
Respondent Lawyers(s): John M. Simon
Arbitrator(s): Elwood Henry Weilage, Robert G. Geeseman, Robert G. Bannon
Hearing Site: Orlando, FL
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| 14-00111 | 09/03/2014 | Claimant(s): AXA Advisors, AXA Network
Claimant Lawyers(s): Matthew Thibaut
Respondent(s): Peter Benvenuto
Respondent Lawyers(s): Peter Leonard Benvenuto
Arbitrator(s): Stuart Harvey Ziegler
Hearing Site: Orlando, FL
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| 13-02548 | 09/02/2014 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Daniel Ascani
Respondent Lawyers(s): Daniel Leonard Ascani
Arbitrator(s): Steven R. Reininger
Hearing Site: Boca Raton, FL
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| 14-00746 | 09/02/2014 | Claimant(s): Xi Chen
Claimant Lawyers(s): Xi Chen
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Debra Volland Achkire
Arbitrator(s): Mary Margaret Bush, Linda P. Drucker, Max Zeigler
Hearing Site: San Francisco, CA
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| 13-00425 | 08/29/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith Barnett
Respondent(s): Hyung Cheoun
Respondent Lawyers(s): Hyung Sik Cheoun
Arbitrator(s): Chandler R Bridges
Hearing Site: Atlanta, GA
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