| 12-03040 | 12/24/2013 | Claimant(s): Marcus Hernandez
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Jeffrey A. Sturgeon
Arbitrator(s): Peter A. Scarpato
Hearing Site: Philadelphia, PA
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| 10-04296 | 12/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryan Clark
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Elizabeth Anne Moreno
Hearing Site: Los Angeles, CA
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| 12-01559 | 12/23/2013 | Claimant(s): NSM Securities.
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Naveen Bhagwani, Shondeep Balchandani
Respondent Lawyers(s): Mark David Hunter
Arbitrator(s): Ilisa J. Smukler, Richard Alan Levine, Scott Louis Fishman
Hearing Site: Boca Raton, FL
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| 12-03396 | 12/23/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Rodney Watkins
Respondent Lawyers(s): Patrick O. Waddel
Arbitrator(s): G. Maynard Green
Hearing Site: Oklahoma City, OK
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| 13-02207 | 12/23/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Chris McCrary
Respondent Lawyers(s): Chris Patrick McCrary
Arbitrator(s): William Ziering
Hearing Site: San Francisco, CA
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| 12-00961 | 12/20/2013 | Claimant(s): Clocktower Tax Credits LLC, Northeast Securities.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): Vert Investment Group, Vert Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Peter P. Skomorowsky
Hearing Site: New York, NY
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| 12-02380 | 12/20/2013 | Claimant(s): Devis Zgrinskic
Claimant Lawyers(s): David Hirschberg
Respondent(s): Joseph DiMauro, Clark Dodge & Co..
Respondent Lawyers(s): Frank J. Franzino
Arbitrator(s): J. Julie Jason, Keely D. Parr, Richard Gee
Hearing Site: New York, NY
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| 12-02692 | 12/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Seth Goldberg
Respondent Lawyers(s): Mark Chester
Arbitrator(s): Bruce R. Heurlin
Hearing Site: Phoenix, AZ
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| 13-01496 | 12/20/2013 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Jeremy Chaffin
Respondent Lawyers(s): Jeremy Jay Chaffin
Arbitrator(s): Gayle B. Carlson
Hearing Site: Tampa, FL
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| 11-02583 | 12/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Adamson Wright, David Lyall
Respondent Lawyers(s): Edward Walton, J. Patrick Haywood
Arbitrator(s): Richard H. Potter
Hearing Site: Raleigh, NC
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