| 12-01252 | 03/25/2014 | Claimant(s): Shaun Moran
Claimant Lawyers(s): Shaun Moran
Respondent(s): Banc of America Securities LLC, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Walter C. Parrish, David J. Weisenfeld, Barbara Antonello Mentz
Hearing Site: New York, NY
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| 12-01822 | 03/19/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Kevin Saia
Respondent Lawyers(s): Kevin Saia
Arbitrator(s): Kenneth J. Horowitz, Gerald Joseph Coughlin, Jonathan Christian Byron
Hearing Site: Newark, NJ
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| 13-00088 | 03/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Anthony Manougian
Respondent Lawyers(s): Anthony Manougian
Arbitrator(s): Alan A. Gray, Richard E. Castiglioni, David J. Weisenfeld
Hearing Site: New York, NY
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| 13-00857 | 03/19/2014 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): Wendy L. Schueller
Respondent(s): Dennis Michels
Respondent Lawyers(s): Philip J. Snyderburn
Arbitrator(s): David P. Slater, Robert H. Nelson, Benjamin L. Abramowitz
Hearing Site: Orlando, FL
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| 13-01829 | 03/19/2014 | Claimant(s): Jonathan Ramos
Claimant Lawyers(s): Jonathan Ramos
Respondent(s): David Isolano, Max International Broker/Dealer Corp.
Respondent Lawyers(s): David Scott Isolano, David Isolano
Arbitrator(s): Boyd H. Scheff
Hearing Site: New York, NY
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| 13-02030 | 03/19/2014 | Claimant(s): Citigroup Global Markets., John Serna, Steven Forde
Claimant Lawyers(s): Lauren R. Whetstone
Respondent(s): Arthur Rowland, Cora Rowland
Respondent Lawyers(s): Tauya Johnson
Arbitrator(s): Donald W. McKenzie, Pamela A. Kentra, Craig D. Cook
Hearing Site: Chicago, IL
| | Expungement |
| 12-03722 | 03/18/2014 | Claimant(s): Nauman Toor
Claimant Lawyers(s): Joshua H. Reisman
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Daryl S. Landy
Arbitrator(s): Mary L. Williams, Annette Gres Shepherd, Ian F. Gow
Hearing Site: Los Angeles, CA
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| 13-00302 | 03/18/2014 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Douglas Lamb
Respondent Lawyers(s): Edgar H. Boles
Arbitrator(s): Terrence Patrick McHugh, John T. Meredith, Brett Steven Krantz
Hearing Site: Cleveland, OH
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| 13-01035 | 03/17/2014 | Claimant(s): Deeb Salem
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Andrew J. Frackman
Arbitrator(s): Martin H. Zern, Keith Roberts, Steven Gary Leventhal
Hearing Site: New York, NY
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| 11-03976 | 03/14/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith barney FA Notes
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Victor Elkind
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Lester G. Stiel, Michael D. Briggs, Alan Joseph Goldstein
Hearing Site: San Diego, CA
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