| 12-04119 | 01/06/2014 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): William Gourd
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Mary L. Merkle, Keely D. Parr, Robert Elliot Harrison
Hearing Site: New York, NY
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| 13-01338 | 01/06/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman
Respondent(s): Scott Trueman
Respondent Lawyers(s): Scott Anthony Trueman
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 10-04760 | 01/03/2014 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N Will
Respondent(s): Ronald Betten
Respondent Lawyers(s): Steven L. Miller
Arbitrator(s): Alan Stamm, Ronald L. Cameron, Larry Haugaard
Hearing Site: Los Angeles, CA
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| 10-05351 | 01/03/2014 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Kenneth A. Zimmern
Arbitrator(s): Phillip Lee Scheldt, Simeon R. Trotter, Earle J. Schwarz
Hearing Site: Dallas, TX
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| 13-02747 | 01/03/2014 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Russell Beck
Respondent(s): Melissa Clemens
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Hugh J. Moore, John C. Burch, Kenneth M. Jackson
Hearing Site: Nashville, TN
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| 12-03453 | 01/02/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas K. Potter
Respondent(s): David Dunavant
Respondent Lawyers(s): David Robert Dunavant
Arbitrator(s): Eric Spencer Buchanan, Leslie T. Hanna, Jeff Mueller
Hearing Site: Memphis, TN
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| 12-03180 | 12/30/2013 | Claimant(s): Vincent Romano
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas F. Hurka
Arbitrator(s): Michael S. Matek, Michael I. White, Loren H. Newman
Hearing Site: Chicago, IL
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| 13-00967 | 12/30/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G Winsman
Respondent(s): Todd Lisetski
Respondent Lawyers(s): Todd Steven Lisetski
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
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| 10-01598 | 12/26/2013 | Claimant(s): Stanley Brooks, Brookstreet Securities Corporation, Brooks Family Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Jason S. Pinney
Arbitrator(s): Robert Bruce MacDonald, Karen L. Gold, David L. Maislen
Hearing Site: Los Angeles, CA
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| 11-04801 | 12/26/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Daniel Mccormack, Wayne Roys
Respondent Lawyers(s): Jonathan Stoler, Stephen D. Csajaghy
Arbitrator(s): Steven M. Feder, Mari C. Bush, Robert Allen Dudley
Hearing Site: Denver, CO
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