| 12-00460 | 02/10/2014 | Claimant(s): Jason Kronick
Claimant Lawyers(s): Jason Elliot Kronick
Respondent(s): August Cellitti, Robert Pedretti, Argentis Holdings, Securevest Financial Group
Respondent Lawyers(s): Gene L. Small
Arbitrator(s): Simone A. Muscarnera, Bernard M. Levine, Louis Aloysius Hall
Hearing Site: Newark, NJ
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| 12-04077 | 02/10/2014 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Matthew Fischer
Respondent(s): Matthew Burke
Respondent Lawyers(s): Matthew K. Burke
Arbitrator(s): Robert M. Stein
Hearing Site: Seattle, WA
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| 11-03812 | 02/07/2014 | Claimant(s): Thomas Boster
Claimant Lawyers(s): Teresa A. Cunningham
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Thomas J. LoSavio, Nancy Hutt, Edwin C. Shiver
Hearing Site: San Francisco, CA
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| 11-04057 | 02/07/2014 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Beatrice Cheah
Arbitrator(s): Renan I. Sugarman, Dennis Roger Ahlm, Laura Kate Wennik
Hearing Site: Minneapolis, MN
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| 13-02060 | 02/07/2014 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Doris Bell Cogswell Morfit Trust
Respondent Lawyers(s): Alan C. Friedberg
Arbitrator(s): Arthur E. Otten, Dominic Alecci, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | Expungement |
| 11-03138 | 02/06/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Passalacqua
Respondent Lawyers(s): Frank A. Lightmas
Arbitrator(s): James G. Killough, Robert G. Brunton, Robert A. Dean
Hearing Site: Atlanta, GA
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| 12-03921 | 02/06/2014 | Claimant(s): Bryan Anderson
Claimant Lawyers(s): John G. Dana
Respondent(s): Pruco Securities., Thomas Brannan, The Prudential Insurance Company of Amer
Respondent Lawyers(s): E. Glenn Waldrop, Kevin D. Hofman
Arbitrator(s): Steven P. Gregory, Victor L. Hayslip, Charles Lange Clark
Hearing Site: Birmingham, AL
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| 13-02471 | 02/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Cynthia Parker
Respondent Lawyers(s): Cynthia Lynne Parker
Arbitrator(s): Daniel J. McCarthy
Hearing Site: Philadelphia, PA
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| 12-03524 | 02/03/2014 | Claimant(s): Ian James
Claimant Lawyers(s): Randall C. Place
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Kelli Hartsook
Arbitrator(s): Donald K. Eckhardt, James Francis Donovan, Richard Devlin Roussel
Hearing Site: New Orleans, LA
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| 12-01755 | 01/30/2014 | Claimant(s): James Robertson
Claimant Lawyers(s): Mike Aduddell
Respondent(s): James Fulp, Jamie Kosharek, John Houston, Leslie Reese, Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan, Michael Y. Lin
Arbitrator(s): Donald K. Eckhardt, Robert Dan Sherrill, Joseph Anthony Slechta
Hearing Site: Houston, TX
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