| 13-00154 | 08/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): G. E. Craig Doupe, Frederick B. Mueller, Peter R. Day
Hearing Site: Seattle, WA
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| 13-03494 | 08/19/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Michael Climer
Respondent Lawyers(s): Michael Wayne Climer
Arbitrator(s):
Hearing Site: Charlotte, NC
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| 14-00662 | 08/18/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): The Solomon Living Trust
Respondent Lawyers(s): William B. Young
Arbitrator(s): Carlos Richard Mangum, James N. D'Orso, Linda M. McCoy
Hearing Site: San Francisco, CA
| | Expungement |
| 14-00843 | 08/18/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Humberto Sirvent
Respondent Lawyers(s): Humberto D. Sirvent
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 13-01532 | 08/14/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael Taaffe
Respondent(s): Charles Grant
Respondent Lawyers(s): Charles Richard Grant
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 13-03073 | 08/14/2014 | Claimant(s): Juan Colon-Collazo
Claimant Lawyers(s): Juan Rafael Colon-Collazo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William Hohauser
Arbitrator(s): Julian F. Santos, Linda G. March, John Herbert Grefe
Hearing Site: New York, NY
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| 13-00328 | 08/13/2014 | Claimant(s): John Jeffords
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): Tina Cundari
Arbitrator(s): Alan L. Berger, John E. Allison, John G. Shamp
Hearing Site: Columbia, SC
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| 13-01262 | 08/13/2014 | Claimant(s): Kevin Daniels
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Steven Sugarman, Cor Clearing LLC
Respondent Lawyers(s): Bruce W. Barnes, David L. Aronoff
Arbitrator(s): Roger W. Van Deusen, Brian G. Mooney, Ronald H. Walton
Hearing Site: Tampa, FL
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| 12-03762 | 08/12/2014 | Claimant(s): Bridget Gipson, John Gaynoe
Claimant Lawyers(s): David Luther Woodward, Marsha L. Lyons
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Richard F. Dole, Onnig Hatchig Dombalagian, Richard Devlin Roussel
Hearing Site: Houston, TX
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| 13-00075 | 08/12/2014 | Claimant(s): Johnny Burris
Claimant Lawyers(s): Nicholas Woodfield
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Christopher P. Fisher
Arbitrator(s): Robert S. McConnell, Katherine M. Harmeyer, Brian L Evans
Hearing Site: Phoenix, AZ
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