| 13-02600 | 04/02/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Brian Merrigan
Respondent Lawyers(s): Brian Merrigan
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
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| 12-00416 | 04/01/2014 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Elizabeth A. Scoditti
Respondent(s): Steven Greenberg
Respondent Lawyers(s): Peter M. Khrinenko
Arbitrator(s): Cynthia H. Plishtin
Hearing Site: Newark, NJ
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| 13-00962 | 04/01/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bahram Mirhashemi
Respondent Lawyers(s): Brian A. Lebrecht
Arbitrator(s): John Alen DeRosa, David L. Maislen, Keith Schulner
Hearing Site: Los Angeles, CA
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| 13-01319 | 04/01/2014 | Claimant(s): Gregory Shaia
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Moelis & Company LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Michael B. Mukasey
Hearing Site: New York, NY
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| 13-03081 | 04/01/2014 | Claimant(s): Amin Dabit
Claimant Lawyers(s): Patrick Mahoney
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan Rosenbaum
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 10-04109 | 03/31/2014 | Claimant(s): Lehman Brothers Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Christopher Clifford
Respondent Lawyers(s): Edward S. Zusman
Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Michael J. Fish
Hearing Site: San Francisco, CA
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| 10-04582 | 03/27/2014 | Claimant(s): Lewis Robinson
Claimant Lawyers(s): Josh M. Rubens
Respondent(s): UBS Financial Services Inc., UBS Partner Plus Plan
Respondent Lawyers(s): Carole G. Miller
Arbitrator(s): Martin A. Feigenbaum, Mark A Bilawsky, Brett Matthew Logan
Hearing Site: Miami, FL
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| 11-01350 | 03/27/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Scott Lasser
Respondent Lawyers(s): Steven M. Feder
Arbitrator(s): Charles G. Michaels, William Louis Anthes, Robert H. Ottesen
Hearing Site: Denver, CO
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| 13-02902 | 03/27/2014 | Claimant(s): William Missimer, III
Claimant Lawyers(s): William M. Mann
Respondent(s): Charles Corbett
Respondent Lawyers(s): Charles E. Corbett
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
| | Expungement |
| 13-02470 | 03/26/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Mark Parker
Respondent Lawyers(s): Mark Parker
Arbitrator(s): John J. Jordan
Hearing Site: Philadelphia, PA
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