| 13-00242 | 02/28/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Robert Sullivan
Respondent Lawyers(s): Robert Roger Sullivan
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
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| 13-00369 | 02/28/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Tobias E. Schlueter
Respondent(s): Joyce Guccione
Respondent Lawyers(s): Randall B. Gold
Arbitrator(s): Lee H. Goodman, Daniel Baruch Lidawer, Gerald F DeNotto
Hearing Site: Chicago, IL
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| 10-05092 | 02/26/2014 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scott Burns
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Howard A. Emirhanian, Martin J. Kotowski, David Nielsen
Hearing Site: Los Angeles, CA
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| 10-05180 | 02/25/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Allan Watt, Gloria Keimer, Lois Powell, Paula Czapko, Robert Ratcliff
Respondent Lawyers(s): Diane C. Fischer, Robert L. Herskovits
Arbitrator(s): Earle J. Schwarz, Robert E. Treadaway, Eric Ross Cromartie
Hearing Site: Dallas, TX
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| 12-04283 | 02/25/2014 | Claimant(s): Benjamin Ramsey
Claimant Lawyers(s): Leonard Benowich
Respondent(s): Laurence Allen, ACP Investment Group, Nyppex
Respondent Lawyers(s): Daniel L. Schwartz
Arbitrator(s): Howard L. Sobel
Hearing Site: New York, NY
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| 13-01153 | 02/25/2014 | Claimant(s): Joseph Cullen
Claimant Lawyers(s): Joseph Cullen
Respondent(s): Janice Suutala, Thrivent Investment Management Inc.
Respondent Lawyers(s): Peter J. Bado
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC
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| 10-05146 | 02/24/2014 | Claimant(s): Brian Benoit
Claimant Lawyers(s): V. Michael Arias
Respondent(s): Alan Chepenik, David Benoit, Raymond James Financial Services., Richard Benoit, Benoit, Chepenik & Benoit P.A.
Respondent Lawyers(s): David A. Gehn, Richard Benoit, Robert M. Rudnicki
Arbitrator(s): Terry G. Cleaves, Dwayne E. Clark, Charles W. Lavender
Hearing Site: Boca Raton, FL
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| 12-00441 | 02/24/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Michael Hawkes
Respondent Lawyers(s): Melinda Jane Steuer
Arbitrator(s): Reed H. Bement, Jarrott T. Miller, Amy Seltzer
Hearing Site: San Francisco, CA
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| 13-00569 | 02/24/2014 | Claimant(s): Eila Matt
Claimant Lawyers(s): Neal Brickman
Respondent(s): IVP Capital
Respondent Lawyers(s): Mitchell Hurley
Arbitrator(s): Annette B. Meyers, Nino Armienti, Anna Lascar
Hearing Site: New York, NY
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| 10-04984 | 02/21/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Russell Williams
Respondent Lawyers(s): Geniene B. Stillwell
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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