| 12-01869 | 08/05/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Keith Sequeira
Respondent Lawyers(s): Keith Patrick Sequeira
Arbitrator(s): Thomas J. Hanrahan, Sam Antar, Bryan David Glass
Hearing Site: Newark, NJ
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| 13-03037 | 08/05/2014 | Claimant(s): Jonathan Lewis
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Nicole Lenzi
Respondent Lawyers(s): Nicole Lenzi
Arbitrator(s): Thomas W. Gregory, Russell T. Doe, Holly Banafsheh
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02403 | 08/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Paul Westphal
Respondent Lawyers(s): Michael H. Schaalman
Arbitrator(s): Evonne A. Hurst, Donald V. Anderson, Charles Orlove
Hearing Site: Milwaukee, WI
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| 13-01939 | 08/04/2014 | Claimant(s): Jessica Brown
Claimant Lawyers(s): Brittany Weiner
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katie M. Kimbrell
Arbitrator(s): Richard L. Merkel
Hearing Site: Phoenix, AZ
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| 11-04118 | 08/01/2014 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Peter R. Boutin
Respondent(s): Just Mortgage., RMK Financial Corp. d/b/a Majestic Home
Respondent Lawyers(s): Stephen Cho
Arbitrator(s): Elliott David Finkel, Madeleine Kleinman, Kendall C. Reed
Hearing Site: Los Angeles, CA
| | Stipulated Award |
| 14-00920 | 08/01/2014 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Rhonda Matthews
Respondent Lawyers(s): Rhonda J. Matthews
Arbitrator(s): Thomas D. Nagle
Hearing Site: Houston, TX
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| 13-00762 | 07/31/2014 | Claimant(s): Ritankar Pal
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Theodore O. Rogers
Arbitrator(s): David J. Weisenfeld, Jay Alan Kranis, Michael J. Contrastano
Hearing Site: New York, NY
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| 14-00172 | 07/31/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Joyce L. Hurley
Hearing Site: Los Angeles, CA
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| 13-03781 | 07/30/2014 | Claimant(s): James Nagengast
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Carmen Brun
Arbitrator(s): Mark S. Foster, Henry R. Cox, Hollie M. Mason
Hearing Site: Omaha, NE
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| 14-00121 | 07/30/2014 | Claimant(s): Olson, Cross & Alamo LLC
Claimant Lawyers(s): Wesley Cross
Respondent(s): Adam Gabiam
Respondent Lawyers(s): Adam Amavi Gabiam
Arbitrator(s): William G. Binckes
Hearing Site: New York, NY
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