| 13-01536 | 08/28/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Wilson Rosebraugh
Respondent Lawyers(s): Deborah DeLong
Arbitrator(s): Scott H Litwin, Carol M. Stoner, Randall S. Strause
Hearing Site: Cincinnati, OH
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| 13-01664 | 08/27/2014 | Claimant(s): Noriel Campos
Claimant Lawyers(s): Ryan T. Dunn
Respondent(s): Beth Kirkland, Wells Fargo Advisors, George Von Zedlitz, Kevin Kitchin, Wilton Owyang
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Sheldon Michaels, Clifford A. Threlkeld, John Burritt McArthur
Hearing Site: San Francisco, CA
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| 13-02316 | 08/27/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jared C. Fields
Respondent(s): Kyle Sutton
Respondent Lawyers(s): Kyle Arthur Sutton
Arbitrator(s): Philip H. Marmurowski
Hearing Site: Salt Lake City, UT
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| 12-02201 | 08/26/2014 | Claimant(s): Bradley Berdow, Christopher Crowson
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Vincent J. Natoli, James M. Goldberg, Herbert Siegfried Emmrich
Hearing Site: Los Angeles, CA
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| 13-03160 | 08/26/2014 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Jerome M. Selvers
Arbitrator(s): Ronald J. Colombo
Hearing Site: Newark, NJ
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| 11-04800 | 08/25/2014 | Claimant(s): Edward Chiappara
Claimant Lawyers(s): John D. Singer
Respondent(s): Deutsche Bank Trust Company, N.A.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Melanie S. Cherdack, Marie Paulette Levine, Jeffrey R. Roth
Hearing Site: Miami, FL
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| 12-02325 | 08/25/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Jonathan C. Thau
Arbitrator(s): Gary A. Hooker, James D. Murray, Robert Mallin Hirsch
Hearing Site: San Francisco, CA
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| 13-02938 | 08/25/2014 | Claimant(s): Brett Hina, David Marshall, Matthew Boynton, Robert Hutchinson
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): UBS Financial Services.
Respondent Lawyers(s): Brian J. Ellis
Arbitrator(s): Sandra J. Mullings
Hearing Site: New York, NY
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| 14-00037 | 08/25/2014 | Claimant(s): Francisco Pascual
Claimant Lawyers(s): Francisco Pascual
Respondent(s): Beta Capital Management, L.P.
Respondent Lawyers(s): Robert T. Kofman
Arbitrator(s): John Richard Lynch
Hearing Site: Miami, FL
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| 14-01175 | 08/25/2014 | Claimant(s): Spartan Capital Securities
Claimant Lawyers(s): Yvonne Owens
Respondent(s): Jason Diaz, Khaled Nasseri, Phillip Pistilli
Respondent Lawyers(s): Jason Robert Diaz, Khaled H. Nasseri, Phillip Eugene Pistilli
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
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