| 13-02758 | 05/13/2014 | Claimant(s): Rockwell Securities LLC
Claimant Lawyers(s): Daniel S. Sakol
Respondent(s): Melvin Payne
Respondent Lawyers(s): Melvin James Payne
Arbitrator(s): Daniel J. McCarthy
Hearing Site: New York, NY
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| 11-04211 | 05/12/2014 | Claimant(s): Carlos Capacete
Claimant Lawyers(s): Judith Berkan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carlos Bobonis Gonzalez
Arbitrator(s): Martin A. Feigenbaum, Todd M. Saunders, Mark A. Myers
Hearing Site: San Juan, PR
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| 12-03328 | 05/12/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Mark Hines
Respondent Lawyers(s): Jonathan Polland
Arbitrator(s): Laurie E. Law, James John Jurinski, Richard Frederick Church
Hearing Site: Portland, OR
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| 13-02528 | 05/12/2014 | Claimant(s): Lev Muromsky
Claimant Lawyers(s): Lev Muromsky
Respondent(s): EKN Financial Services Inc.
Respondent Lawyers(s): Thomas Michael Giugliano
Arbitrator(s): Romaine L. Gardner, William G. Haviland, Robert Francis Littlejohn
Hearing Site: New York, NY
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| 13-03446 | 05/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): Todd Zaeske
Respondent Lawyers(s): Greeg Rzepczynski
Arbitrator(s): Donald W. McKenzie
Hearing Site: Milwaukee, WI
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| 12-01480 | 05/09/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Elizabeth A. Arismendy
Respondent(s): Christopher Mamunes
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): Gordon M. Wase
Hearing Site: Baltimore, MD
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| 12-03523 | 05/09/2014 | Claimant(s): Sean Horrigan
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Richard E. Lauziere, Jane C. Carney, William P. Borduin
Hearing Site: Baltimore, MD
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| 13-02423 | 05/09/2014 | Claimant(s): Joseph Gunnar & Co. LLC
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Michael Kaplan
Respondent Lawyers(s): Michael Kaplan
Arbitrator(s): Susan C. Lushing, Franklin P. Chapman, Thomas Naylor
Hearing Site: New York, NY
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| 13-01533 | 05/08/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Michael Middleton
Respondent Lawyers(s): John J. Miller
Arbitrator(s): Thomas J. Ray, Sandra K. Hummel, James A. Hayes
Hearing Site: Kansas City, MO
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| 11-03247 | 05/07/2014 | Claimant(s): Bradford Underdahl
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): William J. Brack, Chad Anthony Franks
Hearing Site: San Diego, CA
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