| 13-02889 | 05/01/2014 | Claimant(s): UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McC. Montgomery
Respondent(s): Richard Doretti
Respondent Lawyers(s): Jacob H. Zamansky
Arbitrator(s): Gary Timothy Haight, Christine A. Page, John B. La Rue
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-02198 | 04/29/2014 | Claimant(s): Thomas Nelson
Claimant Lawyers(s): Lloyd R. Schwed
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Melanie Ronen
Arbitrator(s): Diane M. Perry, Robert Zelinka, Stephen Kahane
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-03159 | 04/29/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Lee
Respondent Lawyers(s): John Thomas Lee
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
| | |
| 12-03623 | 04/28/2014 | Claimant(s): Deanna Buchholz
Claimant Lawyers(s): Jody L. Winter
Respondent(s): Cambridge Investment Research Advisors,, Cambridge Investment Research.
Respondent Lawyers(s): Sam Y. Edgerton
Arbitrator(s): Richard J. Stall, Robert Dean McKinley, Brant Jackson Griffin
Hearing Site: Los Angeles, CA
| | |
| 13-03024 | 04/28/2014 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Jonathan Kramer
Respondent(s): Thomas Fletcher
Respondent Lawyers(s): Thomas A. Fletcher
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
| | |
| 10-00980 | 04/25/2014 | Claimant(s): David Birrell, Gregory Schulte
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Timothy N. Will
Arbitrator(s): Robert S. Mautner, Henry L. Dahl, Deborah C. Bernot
Hearing Site: Phoenix, AZ
| | |
| 11-02245 | 04/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): Steven Grundstedt
Respondent Lawyers(s): Bart K. Larsen
Arbitrator(s): Mark S. Priver, Harvey M. Baraban, William C. Turner
Hearing Site: Las Vegas, NV
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| 09-00285 | 04/24/2014 | Claimant(s): Mark Singer
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira Rosenstein
Arbitrator(s): Guillermo L. Bosch, Stephen T. Mayhew, Alan J. Blocher
Hearing Site: Philadelphia, PA
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| 10-00757 | 04/23/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Jeffrey Sullivan, John Lang, Peter Lang, Roman Ciosek, Steven Ayer, Hightower Securities
Respondent Lawyers(s): Sharron Ash
Arbitrator(s): Richard S. Peskin, William P. Laino, Steven J. Brill
Hearing Site: New York, NY
| | |
| 12-04225 | 04/23/2014 | Claimant(s): Armando Palomino
Claimant Lawyers(s): Amiel L. Wade
Respondent(s): Wells Fargo Advisors, Mark Nance, Rebecca Emanuel, Wells Fargo Bank
Respondent Lawyers(s): Eric M. Steinert
Arbitrator(s): Herb Schwartz, Juleanne A. Thiebaut, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
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