| 14-00371 | 07/18/2014 | Claimant(s): Woodstock Financial Group.
Claimant Lawyers(s): Michael Colombo
Respondent(s): Richard Gomez
Respondent Lawyers(s): Richard Gomez
Arbitrator(s): Leslie Ruth Nydick
Hearing Site: New York, NY
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| 13-02273 | 07/17/2014 | Claimant(s): Thomas Hake
Claimant Lawyers(s): Joan M Swartz
Respondent(s): Ethan Rush, Ronald Klimas, Securities Service Network.
Respondent Lawyers(s): J. Christopher Wehrle, Ronald T. Klimas, Ronald T. Klimas Chief Compliance
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
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| 11-01245 | 07/16/2014 | Claimant(s): Kevin McCluskey
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gloria O. North, Mitchell F. Colen
Hearing Site: Boca Raton, FL
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| 12-01989 | 07/16/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): Thomas Dexter
Respondent Lawyers(s): Thomas Dexter
Arbitrator(s): Evan L. Gordon, Patricia A. DeWitt, Suzanne Beth Levy
Hearing Site: New York, NY
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| 13-01102 | 07/16/2014 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Anne Yannakakis
Respondent(s): Craig Wiggins
Respondent Lawyers(s): David Bertsch
Arbitrator(s): Gregory P. Szuter
Hearing Site: Cleveland, OH
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| 13-03349 | 07/16/2014 | Claimant(s): J Simmons
Claimant Lawyers(s): J Kim Simmons
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Suanne M. Parro
Hearing Site: Denver, CO
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| 12-04000 | 07/15/2014 | Claimant(s): James Fellus
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Tejas Securities Group., Westech Capital Corp.
Respondent Lawyers(s): Mark Berthiaume
Arbitrator(s): Saul Scheier, Stephen J. Patti, Bernard Lieberman
Hearing Site: New York, NY
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| 13-01236 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Thomas Hinano-Stearns
Respondent Lawyers(s): Thomas Brown Hinano-Stearns
Arbitrator(s): Michael J. Fish
Hearing Site: Honolulu, HI
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| 13-01425 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Matthew Burns
Respondent Lawyers(s): Matthew Alan Burns
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Charlotte, NC
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| 13-02560 | 07/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Derek D'alonzo
Respondent Lawyers(s): Derek Rudolf D'alonzo
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
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