| 13-02844 | 07/15/2014 | Claimant(s): Susquehanna International Group, LLP, Susquehanna Financial Group
Claimant Lawyers(s): Brian Sopinsky
Respondent(s): Xiaozheng Liu
Respondent Lawyers(s): Xiaozheng Liu
Arbitrator(s): Jeffrey M. Allen
Hearing Site: San Francisco, CA
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| 12-03714 | 07/14/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keith Olin
Respondent(s): Michael Petramalo
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Edward R. Niederriter, Andrew R. Present, Milton Thurm
Hearing Site: Boca Raton, FL
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| 12-04258 | 07/14/2014 | Claimant(s): David Clinard
Claimant Lawyers(s): Jeffrey E. Livingston
Respondent(s): Edward Jones
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Patricia Ann Tracey, David M. Pierce, Dwane Edward Vickstrom
Hearing Site: Charlotte, NC
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| 13-01243 | 07/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Edith N. Dinneen, Karl A. Vogeler, Erin Kathleen Linehan
Hearing Site: Tampa, FL
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| 13-01513 | 07/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Richard Divenuto
Respondent Lawyers(s): James E. Heavey
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
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| 13-02334 | 07/14/2014 | Claimant(s): Jeffrey Smith, Joel Sheldon, Kozen Tsukamoto, Wayne Miiller
Claimant Lawyers(s): Wayne Ivan Miller
Respondent(s): J. Schultz, Longview Financial Group.
Respondent Lawyers(s): J. Stuart Schultz
Arbitrator(s): Katherine M. Harmeyer, Richard B. Bequette, Floyd Gerry Hoffman
Hearing Site: Phoenix, AZ
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| 13-03121 | 07/14/2014 | Claimant(s): Anthony Lodati
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Charlotte Hunt, Roderick Hunt
Respondent Lawyers(s): Roderick Hunt
Arbitrator(s): Mark Lee Haggard, James F. Zotter, D. Ann Degenshein
Hearing Site: Portland, OR
| | Expungement |
| 13-00728 | 07/11/2014 | Claimant(s): Michael Barker
Claimant Lawyers(s): Eric C. Kastner
Respondent(s): Morgan Keegan & Company., Raymond, James & Associates.
Respondent Lawyers(s): Julie Taylor, Nathan R. Jaskowiak
Arbitrator(s): Shawn Ridgell, Donald Ervin Cope, Michael Joseph Desmond
Hearing Site: San Francisco, CA
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| 13-01710 | 07/11/2014 | Claimant(s): Lutun Niu-Lyon
Claimant Lawyers(s): Mark H. Lyon
Respondent(s): Averell Satloff, Eric Schweitzer, Marc Drimer, Stewart Lampert, Lampert Capital Markets Inc.
Respondent Lawyers(s): Adam N. Love, Harry W. Lipman
Arbitrator(s): Annette B. Meyers
Hearing Site: New York, NY
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| 13-03055 | 07/11/2014 | Claimant(s): Richard Borish
Claimant Lawyers(s): Richard Borish
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): Linda I. Thomas
Hearing Site: Seattle, WA
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