| 12-02075 | 03/06/2014 | Claimant(s): Katherine Williams
Claimant Lawyers(s): Christopher P. Parrington
Respondent(s): Daniel Rickett
Respondent Lawyers(s): Donald R. McNeil
Arbitrator(s): F. Chet Taylor, Andrew R. Dick, Phyllis Karasov
Hearing Site: Minneapolis, MN
| | |
| 13-00141 | 03/06/2014 | Claimant(s): Jeffrey Sparks
Claimant Lawyers(s): David Marek
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Linda Yarden, Martin H. Zern, Barbara Sullivan-Parry
Hearing Site: New York, NY
| | |
| 13-01973 | 03/06/2014 | Claimant(s): John Orcutt, UBS Financial Services Inc., Mark Fasano
Claimant Lawyers(s): William McClelland Montgomery
Respondent(s): Mark Klein
Respondent Lawyers(s): Christopher J. Gray
Arbitrator(s): Thomas E. Shuck, Annette Gres Shepherd, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-01066 | 03/05/2014 | Claimant(s): David Barnett
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Susanne Robbins
Respondent Lawyers(s): Jeffrey R. Sonn
Arbitrator(s): Marc S. Dobin, George J. Blutstein, Bonnie A. Pearce
Hearing Site: Boca Raton, FL
| | Expungement |
| 13-02678 | 03/05/2014 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Edward Murphy
Respondent Lawyers(s): Edward Thomas Murphy
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 11-03929 | 03/04/2014 | Claimant(s): Andrew Miller
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sara Soto
Arbitrator(s): Steven Gerard Goerke, Gary M. Landau, Kathy N. Novick
Hearing Site: Ft. Lauderdale, FL
| | |
| 12-02314 | 03/04/2014 | Claimant(s): Lewis Goldman
Claimant Lawyers(s): Leon Baer Borstein
Respondent(s): ACGM.
Respondent Lawyers(s): M. Christine Carty
Arbitrator(s): Gilbert F. Bach, Jack Friedman, Lowell D. Johnston
Hearing Site: New York, NY
| | |
| 13-01475 | 03/04/2014 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Thomas Staley
Respondent Lawyers(s): Thomas J. Staley
Arbitrator(s): Richard L. Merkel
Hearing Site: Phoenix, AZ
| | |
| 13-02572 | 03/04/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John R. Bamford
Respondent(s): Michael Rose
Respondent Lawyers(s): Michael Stevan Rose
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
| | |
| 13-01836 | 03/03/2014 | Claimant(s): Damon Mapes, Renita Lee-Hausladen
Claimant Lawyers(s): B. Scott Whipple
Respondent(s): Cetera Investment Services LLC
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): O. Meredith Wilson, Joseph W. Cheek, Trent Thomas Whitford
Hearing Site: Portland, OR
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