| 12-01445 | 02/14/2014 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Wade Lawrence
Respondent Lawyers(s): Wade James Lawrence
Arbitrator(s): Mark L. Williams, Franklin Lewis Broyles, Joseph Anthony Girgenti
Hearing Site: Dallas, TX
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| 13-00170 | 02/14/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Lisa Lewis
Respondent(s): Darren Warden
Respondent Lawyers(s): Darren Neal Warden
Arbitrator(s): Frederick Michael Switzer, John R. Loss, Matthew R. Salamon
Hearing Site: St. Louis, MO
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| 11-00824 | 02/13/2014 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Winston De Feria
Respondent Lawyers(s): Winston H. De Feria
Arbitrator(s): Gerald Silverman
Hearing Site: San Juan, PR
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| 13-00995 | 02/13/2014 | Claimant(s): Francis Carrington
Claimant Lawyers(s): Charles M. Poplstein
Respondent(s): Janus Capital Group., Janus Distributors
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Joseph M. Costello, Steven Meyrich, Mary C. Davis
Hearing Site: Denver, CO
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| 13-02392 | 02/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael L. Carp
Respondent(s): Jose Carbajal
Respondent Lawyers(s): Jose A. Carbajal
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
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| 12-03763 | 02/12/2014 | Claimant(s): Laura Martin-Schwarzman
Claimant Lawyers(s): Ronald S. Platt
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Kevin W. Shaughnessy
Arbitrator(s): Michael Todd Clements, John E. Sutton, Peter A. Portley
Hearing Site: Boca Raton, FL
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| 12-04263 | 02/12/2014 | Claimant(s): Standard Credit Securities Inc., Tradition Asiel Securities Inc.
Claimant Lawyers(s): Ernest Edward Badway
Respondent(s): Mischler Financial Group.
Respondent Lawyers(s): Sylvia Scott
Arbitrator(s): Charles L. Henderson, Robert I. Adler, Lisa Lograno
Hearing Site: New York, NY
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| 11-03843 | 02/11/2014 | Claimant(s): Alejandro Quilez Bonelli
Claimant Lawyers(s): Carlos R. Iguina-Oharriz
Respondent(s): Andres Lewowicz, Hector Gonzalez, Hector Rosario, Jose Casellas, Juan Herrans, Merrill Lynch Pierce Fenner & Smith Inc., Ricardo Vazquez, Richard Reiss
Respondent Lawyers(s): Edward J. Heffernan
Arbitrator(s): Steven N. Ainbinder, Daniel P. Lund, Robert J. Bender
Hearing Site: San Juan, PR
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| 13-01412 | 02/11/2014 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Sean Kirby
Respondent(s): Lauren Ganz
Respondent Lawyers(s): Lauren Gail Ganz
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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| 13-01853 | 02/11/2014 | Claimant(s): Ryan White
Claimant Lawyers(s): Ryan Arther White
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): John R. Loss
Hearing Site: St. Louis, MO
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