| 11-03662 | 11/19/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): John Giansello
Respondent(s): John Simmons
Respondent Lawyers(s): Guy A. Ricciardulli
Arbitrator(s): Nancy J. Spieczny, Marsha Lee, Thomas L. Marshall
Hearing Site: San Diego, CA
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| 12-00777 | 11/19/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Brian Zalewski
Respondent Lawyers(s): Daryl M. Schumacher
Arbitrator(s): Phillips M. Montross
Hearing Site: Chicago, IL
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| 12-03212 | 11/19/2013 | Claimant(s): Douglas Jones
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): Matthew Iak, Westmoreland Capital Corporation
Respondent Lawyers(s): Marissa A. Coheley
Arbitrator(s): Gloria O. North, Raymond W. Snow, Steven E. Eisenberg
Hearing Site: Ft. Lauderdale, FL
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| 02-07270 | 11/18/2013 | Claimant(s): David Johnston
Claimant Lawyers(s): David Johnston
Respondent(s): Quest Capital Strategies.
Respondent Lawyers(s): Robert T. Lemen
Arbitrator(s): Debra Brothers Self
Hearing Site: Los Angeles, CA
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| 11-02495 | 11/18/2013 | Claimant(s): Alexander Simanovsky
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Diane Ciccone, Sheldon Seligsohn, Jonathan A. Siegel
Hearing Site: Philadelphia, PA
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| 12-00451 | 11/18/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward B. Magarian
Respondent(s): Daniel Masiello, Mary Baranowski-Gallo, Philip Pursino
Respondent Lawyers(s): Edward B. Magarian, James E. Heavey, Philip Pursino
Arbitrator(s): Michael Ross, Martin A. Edelstein, Marianne C. Hussey
Hearing Site: New York, NY
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| 13-00337 | 11/15/2013 | Claimant(s): Dong Lee
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Theodore O. Rogers
Arbitrator(s): Martin Jay Siegel, Walter Michael Mathews, Joanne Basso Mack
Hearing Site: New York, NY
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| 12-01068 | 11/14/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Steven Elefson
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Thomas J. Ray, Jerry M. Deters, David Cottingham Mann
Hearing Site: St. Louis, MO
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| 12-04272 | 11/14/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Robert Noxon
Respondent Lawyers(s): Robert Noxon
Arbitrator(s): Jack W. Windt
Hearing Site: Tampa, FL
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| 13-00739 | 11/14/2013 | Claimant(s): Michael Frawley
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): David M. Belcher
Arbitrator(s): James R. Collins
Hearing Site: Boston, MA
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