| 11-04088 | 12/17/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Morgan Stanley, Todd Thrasher
Respondent Lawyers(s): S. Francis Baldwin, Sal Hernandez
Arbitrator(s): Thomas J. Ray, Phillip L. Wisely, Robert W. Dempsey
Hearing Site: St. Louis, MO
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| 13-02050 | 12/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Eric Dishner
Respondent Lawyers(s): Eric Martin Dishner
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
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| 13-02204 | 12/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jennifer R. Ewing
Respondent(s): Angelo Rannazzisi
Respondent Lawyers(s): Angelo Rannazzisi
Arbitrator(s): Steven Ira Weinberger
Hearing Site: Boca Raton, FL
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| 13-00023 | 12/16/2013 | Claimant(s): Matthew Zick
Claimant Lawyers(s): Matthew James Zick
Respondent(s): Columbia Management Investment Distribut
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
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| 13-01196 | 12/16/2013 | Claimant(s): Joseph Vencil
Claimant Lawyers(s): Joseph William Vencil
Respondent(s): Lampert Capital Markets Inc.
Respondent Lawyers(s): Harry W. Lipman
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
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| 12-04144 | 12/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Patrick Londrigan
Respondent Lawyers(s): Thomas F. Londrigan
Arbitrator(s): Tim V. Young, Brian T. Carter, Donald W. Moriarty
Hearing Site: St. Louis, MO
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| 09-05042 | 12/12/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Robert Loftus
Respondent Lawyers(s): Jeffrey L. Liddle
Arbitrator(s): Hugh N. Fryer, Joseph A. Forgione, Kenneth Paul Williams
Hearing Site: New York, NY
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| 11-01556 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Gia Atlas
Respondent Lawyers(s): Mitchell Schley
Arbitrator(s): Mitchell S. Friedman, Michael P. Marryshow, Nicholas James Johnson
Hearing Site: Philadelphia, PA
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| 12-01338 | 12/12/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): William McClendon
Respondent Lawyers(s): Joseph A. Salazar
Arbitrator(s): John J. Flynn, Edwin C. Shiver, Zachary Scott Rigdon
Hearing Site: San Francisco, CA
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| 13-00759 | 12/12/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph Keenan
Respondent(s): Anthony Wall
Respondent Lawyers(s): Anthony A. Wall
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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