| 12-04150 | 05/20/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Myron Barker
Respondent Lawyers(s): Pamela K. Ginsburg
Arbitrator(s): Bill Swinford
Hearing Site: Cincinnati, OH
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| 13-02326 | 05/20/2014 | Claimant(s): Gerard Hogg
Claimant Lawyers(s): Gerard Hogg
Respondent(s): Linda Manley
Respondent Lawyers(s): Linda Sue Manley
Arbitrator(s):
Hearing Site: New York, NY
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| 13-03406 | 05/20/2014 | Claimant(s): Karl Pettijohn
Claimant Lawyers(s): Scott E. Rahn
Respondent(s): Health Solutions
Respondent Lawyers(s): Glen Rocklin
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-03756 | 05/20/2014 | Claimant(s): Kyle Christensen
Claimant Lawyers(s): Elizabeth Lowery
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Stanley C. Brooks
Arbitrator(s): Benjamin F. Breslauer
Hearing Site: Los Angeles, CA
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| 13-02727 | 05/19/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael T. West
Respondent(s): Brad Baggarly
Respondent Lawyers(s): Thomas D. Mauriello
Arbitrator(s): Kenneth R. Hyman, June McLaughlin, A. Joel Klein
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00583 | 05/16/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Ernest Newman
Respondent Lawyers(s): Thomas F. Asch
Arbitrator(s): Jeffrey W. Finke, Marilee Roberg, Gregory Allen Nie
Hearing Site: Chicago, IL
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| 12-02780 | 05/15/2014 | Claimant(s): Eddie King
Claimant Lawyers(s): Jill L. Craft
Respondent(s): Deborah Pfister, Louis Duhe, Michel Singler, Allstate Financial Services, Allstate Insurance Company
Respondent Lawyers(s): Peter J. Valeta
Arbitrator(s): Lynne M. Gomez, Robert A. Wojcik, Brian P. Jakes
Hearing Site: New Orleans, LA
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| 12-03319 | 05/15/2014 | Claimant(s): Jorge Ramirez
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc of PR
Respondent Lawyers(s): Carlos Bobonis Gonzalez
Arbitrator(s): S. William Gersten, Stuart K. Furman, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
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| 13-00456 | 05/15/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Steven Meyer
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Michael F. Jordan, Terry F. Peppard, Susan H. Schleisner
Hearing Site: Milwaukee, WI
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| 13-00676 | 05/15/2014 | Claimant(s): Richard Fusari
Claimant Lawyers(s): Richard Fusari
Respondent(s): Klaus Siepmann, Robert Mather, Allied Beacon Partners.
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Gary L. Hodge, Russell W. Merriman, John Frank Bauder
Hearing Site: Tampa, FL
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