| 12-01177 | 06/18/2014 | Claimant(s): Brice Van Elswyk
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Securities.
Respondent Lawyers(s): Deborah P. Kelly
Arbitrator(s): Sally Jane Sancimino, Ronald J. Colombo, Wallace Anthony Showman
Hearing Site: New York, NY
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| 13-00811 | 06/18/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Thomas Leinwol
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Edward R. Niederriter
Hearing Site: Boca Raton, FL
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| 11-01964 | 06/16/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan Jefferbaum Beck, Robert H. Nelson, Daniel P. Lund
Hearing Site: Jacksonville, FL
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| 13-00506 | 06/16/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Stephen Ridgely
Respondent Lawyers(s): Stephen Eldridge Ridgely
Arbitrator(s): Steven R. Reininger, Kimberly A. Gilmour, Sandra J. Bakalus
Hearing Site: Boca Raton, FL
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| 13-00918 | 06/16/2014 | Claimant(s): Sabina Phillips
Claimant Lawyers(s): Sabina Phillips
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): David Finnegan, Saul Scheier, Thomas M. Amadio
Hearing Site: New York, NY
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| 13-00988 | 06/16/2014 | Claimant(s): Michael Bombardier
Claimant Lawyers(s): Christine E. Goodrich
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Robert H. Watts, Nickolas F. Monteforte, Joseph Charles Kennedy
Hearing Site: Montpelier, VT
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| 13-01095 | 06/16/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Thomas Staley
Respondent Lawyers(s): Thomas Staley
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
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| 14-00234 | 06/16/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): David Levenstein
Respondent Lawyers(s): David Joseph Levenstein
Arbitrator(s): Michele S. Riley
Hearing Site: New York, NY
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| 13-00793 | 06/13/2014 | Claimant(s): Jorge Gutierrez
Claimant Lawyers(s): David I. Greenberger
Respondent(s): Jason Barger, Schroder Fund Advisors LLC
Respondent Lawyers(s): Stephen Asay, Thomas Hill
Arbitrator(s): Monica I. Salis, Michael Todd Clements, James M. Scutti
Hearing Site: Miami, FL
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| 13-01221 | 06/13/2014 | Claimant(s): Alexander Simanovsky
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
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