| 13-02681 | 03/13/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Austin Jambor
Respondent Lawyers(s): Jason S. Chapman
Arbitrator(s): Daniel P. Lund
Hearing Site: Miami, FL
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| 13-01372 | 03/12/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jaime Morales
Respondent Lawyers(s): Jaime Morales
Arbitrator(s): Raymond C. Kerr
Hearing Site: Houston, TX
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| 12-00506 | 03/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Jessica McConnell, Todd Carbone
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Robert D. Sussin, Robert A. Lombardi, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
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| 13-02153 | 03/11/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Derek Forrest
Respondent Lawyers(s): Derek R. Forrest
Arbitrator(s): C. Sumpter Logan
Hearing Site: Oklahoma City, OK
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| 13-02534 | 03/11/2014 | Claimant(s): William Spalding
Claimant Lawyers(s): Stephen E. Hudson
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Daniel H. Yaffe, Richard S. Zaifert, Laura A. Ledford
Hearing Site: Atlanta, GA
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| 13-02960 | 03/11/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Blake L. Daniels
Respondent(s): William Hopkins
Respondent Lawyers(s): William Eric Hopkins
Arbitrator(s): Robert P. Porter
Hearing Site: Raleigh, NC
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| 12-03152 | 03/10/2014 | Claimant(s): Ricky McReynolds
Claimant Lawyers(s): Ricky Allen McReynolds
Respondent(s): Robbi Jones, Kipling Jones & Co., Ltd.
Respondent Lawyers(s): R. Kipling Jones
Arbitrator(s): John J. Bucko, D. Bruce Shine, Neil Harvey Smith
Hearing Site: Nashville, TN
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| 12-04273 | 03/10/2014 | Claimant(s): Karen Cartwright
Claimant Lawyers(s): Shelly J. Todd
Respondent(s): Anthony Rocco, Richard Barron, Richard Spencer, Wesbanco Securities., Westbanco.
Respondent Lawyers(s): Douglas G. Smith
Arbitrator(s): Frank C. Fogl, Gregory P. Szuter, Paul E. von Geis
Hearing Site: Pittsburgh, PA
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| 13-00983 | 03/07/2014 | Claimant(s): Gary Wolf
Claimant Lawyers(s): Robert L. Rolnick
Respondent(s): Prudential Annuities Distributors, SII Investments.
Respondent Lawyers(s): Gayla C. Crain, Martin S. Schexnayder
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
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| 13-02546 | 03/07/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Roy Kelsey
Respondent Lawyers(s): Roy Edward Kelsey
Arbitrator(s): Paul E. Flora
Hearing Site: Orlando, FL
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