| 13-00166 | 12/05/2013 | Claimant(s): Timothy Flynn
Claimant Lawyers(s): George L. Mahr
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Philip A. Fortino
Arbitrator(s): John A. Astorina, Franklin P. Chapman, Peter Susser
Hearing Site: New York, NY
| | |
| 13-01511 | 12/05/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Smillie
Respondent Lawyers(s): James Edward Smillie
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
| | |
| 13-01921 | 12/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Peter Yao
Respondent Lawyers(s): Peter Yao
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | |
| 13-02172 | 12/05/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Mark McNew
Respondent Lawyers(s): Mark McNew
Arbitrator(s): John D. Mattingly
Hearing Site: Atlanta, GA
| | |
| 12-02472 | 12/04/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Terry Williamson
Respondent Lawyers(s): D. Craig Brinker
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 12-02723 | 12/04/2013 | Claimant(s): Deborah Mellis
Claimant Lawyers(s): Stephen G. Cochran
Respondent(s): MML Investors Services
Respondent Lawyers(s): William P. Thornton
Arbitrator(s): Emily Eiselman Hunter
Hearing Site: Washington, DC
| | |
| 13-01675 | 12/04/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): James Valis
Respondent Lawyers(s): Sean Carnathan
Arbitrator(s): John A. Morin, Robert V. Deiana, James Alden Lincoln
Hearing Site: Boston, MA
| | |
| 13-01969 | 12/04/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel Mauch
Respondent(s): Donald Rentz
Respondent Lawyers(s): Donald J. Rentz
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
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| 12-03910 | 12/03/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew E. Wolper
Respondent(s): David Kraft
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): Charles Hoffman
Hearing Site: Boca Raton, FL
| | |
| 13-00187 | 12/03/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Barry Belmont, Gordon Belmont, Lock Haven Industrial Park Inc., Towne Center Properties Inc., JLB/JAB Limited Partnership, GST Exempt Marital Trust, GST Exempt Residuary Trust, GST Non-Exempt Marital Trust
Respondent Lawyers(s): Barry Belmont, Gordon L. Belmont
Arbitrator(s): David J. Anderson, Laurent C. Vonderweidt, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | Expungement |
