| 13-01029 | 11/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Rebecca Swenson
Respondent(s): Lynn Blankenberger
Respondent Lawyers(s): Lynn Blankenberger
Arbitrator(s): Frances D. Sheehy, Howard Bernstein, Doug Campbell
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-01867 | 11/07/2013 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Megan Christensen
Respondent(s): Stephen Alves
Respondent Lawyers(s): Stephen David Alves
Arbitrator(s): Robert V. Deiana
Hearing Site: Providence, RI
| | |
| 13-00497 | 11/07/2013 | Claimant(s): David Myers, James Higgins
Claimant Lawyers(s): Todd Schnell
Respondent(s): Eldon Prybil
Respondent Lawyers(s): Heartsill Ragon
Arbitrator(s): Andrew R. Dick
Hearing Site: Des Moines, IA
| | Expungement |
| 12-01697 | 11/06/2013 | Claimant(s): First Command Financial Planning., First Command Financial Services., First Command Securities Corporation
Claimant Lawyers(s): Ethan H. Cohen, Steven W. Hamm
Respondent(s): Bradford WilsonL Financial LLC, James Agostini, Jeanine Bodie, Jeb Zoller, Patrick Burgess, Robert Paschal, Shelby Hill, Stephen Simmons, Davinci Financial Designs
Respondent Lawyers(s): Cory E. Manning, Elizabeth Ann Agostini, Justin M. Kata, Richard J. Morgan
Arbitrator(s): W. Wells Van Pelt, Charles L.A. Terreni, Donald John Andres
Hearing Site: Columbia, SC
| | |
| 12-02471 | 11/06/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Anthony Carter
Respondent Lawyers(s): Anthony E. Carter
Arbitrator(s): Erik R. Siering
Hearing Site: Los Angeles, CA
| | |
| 13-00650 | 11/06/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Brian Kilgallon
Respondent Lawyers(s): Brian Michael Kilgallon
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
| | |
| 13-01682 | 11/06/2013 | Claimant(s): America's Choice Equities LLC
Claimant Lawyers(s): Ralph A. Principe
Respondent(s): Andrew Rosenbaum
Respondent Lawyers(s): Andrew Scott Rosenbaum
Arbitrator(s): Elena G. Rodriguez
Hearing Site: Boca Raton, FL
| | |
| 12-04051 | 11/05/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Garrett R. Wynne
Respondent(s): David Licht, Emanuel Licht
Respondent Lawyers(s): David Evan Licht, Emanuel Licht
Arbitrator(s): Bernard M. Levine, Robert T. Costello
Hearing Site: Newark, NJ
| | Expungement |
| 13-00066 | 11/05/2013 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Thomas Pfeiffer
Respondent Lawyers(s): Thomas Steven Pfeiffer
Arbitrator(s): Edward Baer, Allen H. Green, Carolyn A. Mann
Hearing Site: New York, NY
| | |
| 13-00908 | 11/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Michael Dinapoli
Respondent Lawyers(s): Brian J. Neville
Arbitrator(s): Jacob Aschkenasy
Hearing Site: New York, NY
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