| 13-01830 | 11/14/2013 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Glenn Karant
Respondent Lawyers(s): Glenn Howard Karant
Arbitrator(s): Richard W. Epstein
Hearing Site: Boca Raton, FL
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| 13-00937 | 11/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Charles Music
Respondent Lawyers(s): Charles A. Music
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Charleston, WV
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| 13-02701 | 11/13/2013 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A Kenedy
Respondent(s): Michael Miller
Respondent Lawyers(s): Michael Douglas Miller
Arbitrator(s): Thomas J. Patka, Ken Ziesenheim, John Hughes Verchot
Hearing Site: Tampa, FL
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| 13-00397 | 11/12/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A. Vollono
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
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| 13-00800 | 11/12/2013 | Claimant(s): SunTrust Investment Services.
Claimant Lawyers(s): Andrew Froman
Respondent(s): Richard Rodriguez
Respondent Lawyers(s): Richard Rodriguez
Arbitrator(s): Lewis J. Levey
Hearing Site: Miami, FL
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| 13-01235 | 11/12/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Steven Satter
Respondent(s): Mark Kelly
Respondent Lawyers(s): Jeffrey D. Plopa
Arbitrator(s): Tracy L. Allen
Hearing Site: Detroit, MI
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| 11-01843 | 11/11/2013 | Claimant(s): Wilfredo Ortiz Aponte
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): RD Capital Group.
Respondent Lawyers(s): James J. Moylan
Arbitrator(s): Robert S. Natiss, Daniel P. Lund, Guillermo A. Gleizer
Hearing Site: San Juan, PR
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| 11-02570 | 11/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Sophie I. Myers
Respondent(s): Cynthia Barrera
Respondent Lawyers(s): Cynthia Marie Barrera
Arbitrator(s): R. Lee Britton Jr.
Hearing Site: Houston, TX
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| 12-03304 | 11/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Shari Nelson
Respondent Lawyers(s): Shari Kay Nelson
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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| 11-03980 | 11/08/2013 | Claimant(s): Dwayne Peltier
Claimant Lawyers(s): Joel W. Baruch
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer L. Nutter
Arbitrator(s): G. Thomas Fleming, Elizabeth A. Copley, Robert Alan Merring
Hearing Site: Los Angeles, CA
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