| 13-01277 | 05/07/2014 | Claimant(s): Timothy Weber
Claimant Lawyers(s): Robert M. Thornton
Respondent(s): Goldman, Sachs and Company, The Goldman Sachs Group.
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): Thomas M. Campbell, Lawrence R. Maxwell, Jay M. Vogelson
Hearing Site: Dallas, TX
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| 13-02817 | 05/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Note Hold
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Joseph Sanchis
Respondent Lawyers(s): Joseph J. Sanchis
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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| 09-03467 | 05/06/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): Matthew Belden
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): James N. D'Orso, Kenneth W. Gosliner, Robert Elman
Hearing Site: San Francisco, CA
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| 11-01924 | 05/06/2014 | Claimant(s): Matthew Reynolds
Claimant Lawyers(s): Craig Riha
Respondent(s): Olympia Asset Management,LTD.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): David F. Greenberg, James M. Baumann, Martin A. Edelstein
Hearing Site: New York, NY
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| 12-03242 | 05/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Brad Rude
Respondent Lawyers(s): Marc Durant
Arbitrator(s): Jim Geiger, John Joseph Borzi, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
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| 13-01190 | 05/06/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Todd E. Ratner
Respondent(s): Christopher Spires, Michael Wilder
Respondent Lawyers(s): Christopher Thomas Spires, Michael Dustin Wilder
Arbitrator(s): Stephen P. Hoffman
Hearing Site: Columbia, SC
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| 12-01527 | 05/05/2014 | Claimant(s): Robert Garrison
Claimant Lawyers(s): Jacks C. Nickens
Respondent(s): Sanders Morris Harris Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Steve R. Neuman, Walter F. Schleyer, Charles E. Munson
Hearing Site: Houston, TX
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| 13-03339 | 05/02/2014 | Claimant(s): Teresa Harmon
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Robert A. Lombardi
Hearing Site: Los Angeles, CA
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| 11-02682 | 05/01/2014 | Claimant(s): Harry Friedman
Claimant Lawyers(s): John E. Lawlor
Respondent(s): Albert Pette, Brian Hagerman, John Matthews, Mark Lisser, Global Arena Capital Corp
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Boyd H. Scheff, Cynthia A. DiMarco, Eric J. Sussman
Hearing Site: New York, NY
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| 13-00845 | 05/01/2014 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Timothy Lazcano
Respondent Lawyers(s): Jeremy L. Bartell
Arbitrator(s): John B. Kinsellagh, Robert J. Ambrogi, Michael L. Letendre
Hearing Site: Boston, MA
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