| 14-00161 | 08/12/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Los Angeles, CA
| | |
| 13-02550 | 08/11/2014 | Claimant(s): Michael Schwartz
Claimant Lawyers(s): Michael Gerald Schwartz
Respondent(s): Kerry Dukes, Ardour Capital Investments
Respondent Lawyers(s): Kerry J. Dukes
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | |
| 11-04623 | 08/07/2014 | Claimant(s): Justin Miller
Claimant Lawyers(s): Marie Mirch
Respondent(s): Unionbanc Investment Services
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Ralph A. Cotton, Bradley C. Mitchell, Carol Ann Jensen
Hearing Site: San Francisco, CA
| | |
| 13-01079 | 08/07/2014 | Claimant(s): Aegis Capital Corp.
Claimant Lawyers(s): Michael P. Gilmore
Respondent(s): Joseph Santiago
Respondent Lawyers(s): Joseph Santiago
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | |
| 14-00216 | 08/07/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Bray
Respondent Lawyers(s): Patrick Ryan Bray
Arbitrator(s): John P. Cullem, John R Kiefner, Oliver J. Janney
Hearing Site: Tampa, FL
| | |
| 14-00689 | 08/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
| | |
| 12-04088 | 08/06/2014 | Claimant(s): Morgan Stanley Smith Barney FA Notes, Morgan Stanley Smith Barney LLC
Claimant Lawyers(s): Samuel P Mauch
Respondent(s): Gary Barr
Respondent Lawyers(s): Michael A. Valenti
Arbitrator(s): Bill Swinford, Martin Augustus Graf, Edwin Joseph Rehrman
Hearing Site: Louisville, KY
| | |
| 13-00765 | 08/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jimmy Stroud
Respondent Lawyers(s): Jimmy Clayton Stroud
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | |
| 13-02080 | 08/06/2014 | Claimant(s): Susquehanna Financial Group, LLLP
Claimant Lawyers(s): M. Norman Goldberger
Respondent(s): David Gingeleskie, Deutsche Bank Securities.
Respondent Lawyers(s): Steven Castaldo
Arbitrator(s): Richard J. Paley, Anna M. Fanelli, Howard Weitz
Hearing Site: New York, NY
| | |
| 13-02576 | 08/06/2014 | Claimant(s): Lisa Detanna
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
| | |
