| 13-01573 | 12/11/2013 | Claimant(s): Robert Maranghi
Claimant Lawyers(s): Robert J. Maranghi
Respondent(s): Debbie Montgomery
Respondent Lawyers(s): Debbie L. Montgomery
Arbitrator(s): Joel Steven Arogeti
Hearing Site: Atlanta, GA
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| 12-00181 | 12/10/2013 | Claimant(s): Pruco Securities., The Prudential Insurance Co. of America
Claimant Lawyers(s): Lorie Almon
Respondent(s): Terry Sandvold
Respondent Lawyers(s): Thomas Jamison
Arbitrator(s): Daniel D. Hill
Hearing Site: Minneapolis, MN
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| 12-02663 | 12/10/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jeffrey Thomas Kern
Respondent(s): Richelle Caswell
Respondent Lawyers(s): Richelle M. Caswell
Arbitrator(s): Lonnie L. Cunningham, John J. Miller, Ronald G. Bruch
Hearing Site: Kansas City, MO
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| 10-01969 | 12/09/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Robert Giusti
Respondent Lawyers(s): Robert Giusti
Arbitrator(s): Joseph J. Arata, Paul Kanischak, Keely D. Parr
Hearing Site: New York, NY
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| 12-00074 | 12/09/2013 | Claimant(s): William Frisco
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Gary D. Danna, Christine L. Stetson, Alan M. Holzberg
Hearing Site: Houston, TX
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| 13-02195 | 12/09/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Nicholas Perugino
Respondent Lawyers(s): Nicholas L. Perugino
Arbitrator(s): John James McGovern
Hearing Site: Wilmington, DE
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| 08-04621 | 12/06/2013 | Claimant(s): Joseph Seidler
Claimant Lawyers(s): Patrick Gillette
Respondent(s): Wachovia Securities, Kevin Kitchin
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Elmo E. Wedderburn, Joseph M. O'Connor, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 12-03102 | 12/06/2013 | Claimant(s): Michael Pall
Claimant Lawyers(s): Nancy L. Hendrickson
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Carrie A. Durkin
Arbitrator(s): Thomas F. Ryan, Leonard Arthur Nelson
Hearing Site: Chicago, IL
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| 13-01206 | 12/06/2013 | Claimant(s): Anastasio Suarez
Claimant Lawyers(s): Anastasio Suarez
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Scott R. Koch
Arbitrator(s): Jerry H. Friedland
Hearing Site: Phoenix, AZ
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| 12-02275 | 12/05/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance, In
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Robert Moore
Respondent Lawyers(s): Robert H. Moore
Arbitrator(s): Nancy Kramer
Hearing Site: New York, NY
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