| 10-02937 | 11/26/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): David Honigstock
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Charles L. Henderson, Elizabeth Elster Granville, Walter M. Schackman
Hearing Site: New York, NY
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| 12-01070 | 11/26/2013 | Claimant(s): Gregory Vallee
Claimant Lawyers(s): Jesse S. Angeley
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Christine R. Fitzgerald
Arbitrator(s): Ronald L. Cheney, Mary C. Kelleher, Edward Joseph Boudreau
Hearing Site: Manchester, NH
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| 12-01412 | 11/26/2013 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Robert Ainbinder
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): Jerry P. DeNigris, Linda J. Baer, Bryan David Glass
Hearing Site: Newark, NJ
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| 12-03507 | 11/26/2013 | Claimant(s): US. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Richard A. Mosman, Kenneth O. Fossey, Kathy A. Tatone
Hearing Site: Minneapolis, MN
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| 13-00010 | 11/26/2013 | Claimant(s): Steven Brahy
Claimant Lawyers(s): Steven Brahy
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Melvin S. Feldman, Michael M. Perrigue, Olivia J. Valentine
Hearing Site: Los Angeles, CA
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| 12-00910 | 11/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): James Lewis
Respondent Lawyers(s): Peter A. Cantwell
Arbitrator(s): Herb Schwartz, Mary Margaret Bush, Douglas J. Pavese
Hearing Site: Reno, NV
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| 12-03601 | 11/25/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Jen Lee
Respondent Lawyers(s): Jen Yung Lee
Arbitrator(s): Herbert Murez, Ralph B. Perry, David S. Harrison
Hearing Site: Los Angeles, CA
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| 11-02404 | 11/22/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Benjamin Alexander, Wells Fargo Advisors Financial Network, Erica Fendlay
Respondent Lawyers(s): Christopher A. Pickett, Meredith Cavallaro, Thomas B. Lewis
Arbitrator(s): N. John Marinack, James J. Puhala, Peter Vincent Marcoline
Hearing Site: Pittsburgh, PA
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| 12-00084 | 11/22/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janelle E. Fulton
Respondent(s): Patrick Bray
Respondent Lawyers(s): W. Nelson Kirkland
Arbitrator(s): Thomas R. Carlsen, Kathryn M. Welsh, Terry L. Kors
Hearing Site: Tampa, FL
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| 12-02085 | 11/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Harry D. Frisch
Respondent(s): Guilherme Kuchkarian
Respondent Lawyers(s): A. Rene Hollyer
Arbitrator(s): Daniel Robbins, Keith Eric Bettencourt, Peter Susser
Hearing Site: New York, NY
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