| 13-02966 | 05/15/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Greg Snider
Respondent Lawyers(s): Greg W. Snider
Arbitrator(s): Earle J. Schwarz
Hearing Site: Memphis, TN
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| 13-03660 | 05/15/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Sokolowski
Respondent(s): Patrick Sullivan
Respondent Lawyers(s): Patrick Joseph Sullivan
Arbitrator(s): Thomas C. Wagner
Hearing Site: Cincinnati, OH
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| 10-00154 | 05/14/2014 | Claimant(s): Richard Coale, Robert Hannam, Ronald White
Claimant Lawyers(s): Daniel Marino
Respondent(s): Christopher Dumont, Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Thomas Caiaffa, Julian F. Santos, Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 11-02484 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Holdings
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Sean Barrett
Respondent Lawyers(s): Richard J. Hoag
Arbitrator(s): Lester G. Stiel, Greta Glavis, Alan Joseph Goldstein
Hearing Site: San Diego, CA
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| 13-01217 | 05/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Nicholas Ragone
Respondent Lawyers(s): Kimberly Kalmanson
Arbitrator(s): Stanley M. Ulanoff, William E. Nuckel, Stewart E. Winner
Hearing Site: New York, NY
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| 13-02237 | 05/14/2014 | Claimant(s): Michael Kelleher
Claimant Lawyers(s): Robert C. Harris
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jerrold Levine
Hearing Site: Miami, FL
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| 13-02426 | 05/14/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Donna Tucker
Respondent Lawyers(s): James P. Cargill
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
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| 13-02696 | 05/14/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): John Wessels
Respondent Lawyers(s): John Wessels
Arbitrator(s): Christine Moore
Hearing Site: New York, NY
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| 13-03013 | 05/14/2014 | Claimant(s): David Lugo
Claimant Lawyers(s): Roberto Quinones
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Nancy J. Cliff, Jerrold Levine, John H. Claudy
Hearing Site: San Juan, PR
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| 13-03082 | 05/14/2014 | Claimant(s): United Brokerage Services
Claimant Lawyers(s): Rose L. Wilson
Respondent(s): John Pickens
Respondent Lawyers(s): John Morgan Pickens
Arbitrator(s): Donita M. King
Hearing Site: Charleston, WV
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