| 13-00870 | 04/16/2014 | Claimant(s): Boenning & Scattergood.
Claimant Lawyers(s): Frank R. Emmerich
Respondent(s): James Lennon
Respondent Lawyers(s): Jean Hanna Bickhart
Arbitrator(s): Roslyn G. Pollack, Catherine Stewart, Karen R. Perri
Hearing Site: Philadelphia, PA
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| 13-01509 | 04/15/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Frank Quartararo
Respondent Lawyers(s): Frank Anthony Quartararo
Arbitrator(s): R. Van Young
Hearing Site: Atlanta, GA
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| 13-02414 | 04/15/2014 | Claimant(s): Steliana Torres
Claimant Lawyers(s): Steliana Torres
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Steven A. Siegel
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
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| 12-04356 | 04/14/2014 | Claimant(s): David Lugo
Claimant Lawyers(s): Roberto C. Quinones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services of PR
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Martin A. Feigenbaum, Gerald Silverman, Michael E. Pearson
Hearing Site: San Juan, PR
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| 12-03265 | 04/11/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Adam Gurien
Respondent Lawyers(s): Andrew R. Macklin
Arbitrator(s): Linda J. Baer, Veronica Ann Williams, Zung T. Nguyen
Hearing Site: Newark, NJ
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| 12-03294 | 04/11/2014 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Kadletz, First Allied Securities.
Respondent Lawyers(s): Gregory C. Ward, Willard R. Knox
Arbitrator(s): Herbert S. Bratt, Susan H. Schleisner, Kimberly Ann Powers
Hearing Site: Milwaukee, WI
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| 13-00461 | 04/11/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Jeremy Tintle
Respondent Lawyers(s): Jeremy Gerald Tintle
Arbitrator(s): Karla Y. Vogel, Henry W. Grady, Robert A. Dean
Hearing Site: Atlanta, GA
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| 11-02615 | 04/10/2014 | Claimant(s): Richard Fusari
Claimant Lawyers(s): Richard Fusari
Respondent(s): Advanced Equities., First Allied Securities.
Respondent Lawyers(s): Peter B. King, Robert Cross
Arbitrator(s): William H. Fleece, Deborah J. Powell, Maurice M. Feller
Hearing Site: Tampa, FL
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| 13-01933 | 04/10/2014 | Claimant(s): Michael Celso
Claimant Lawyers(s): Brian Horwitz
Respondent(s): Fidelity Brokerage Services LLC, Strategic Advisers.
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Stuart K. Furman, Robert Finder, Alexander Joseph Sikora
Hearing Site: Orlando, FL
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| 12-03679 | 04/08/2014 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Brent Lowe
Respondent Lawyers(s): Brent W. Lowe
Arbitrator(s): Katherine Jane Morris, Mandel E. Himelstein, Alan Joseph Goldstein
Hearing Site: San Diego, CA
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