| 12-03386 | 11/04/2013 | Claimant(s): Terry Barnhardt
Claimant Lawyers(s): Jonathan T Lieber
Respondent(s): Bruce Olmstead, Summit Brokerage Services.
Respondent Lawyers(s): Benjamin J Biard, Michael J. Lang
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Boca Raton, FL
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| 11-04739 | 11/01/2013 | Claimant(s): J.J.B. Hilliard, W.L. Lyons
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Steve Mahler
Respondent Lawyers(s): Frank "Kim" Breese
Arbitrator(s): R. Phillip Reed, Gary P. Price, Matthew P. McCauley
Hearing Site: St. Louis, MO
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| 12-02447 | 11/01/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael West
Respondent(s): Sara Reed
Respondent Lawyers(s): Irwin Stein
Arbitrator(s): Alexander L. Mazour, Kathryn J. Toronto, Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | Expungement |
| 13-01055 | 11/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Daniel Staples
Respondent Lawyers(s): Daniel Warren Staples
Arbitrator(s): James Miles Goodwin
Hearing Site: Milwaukee, WI
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| 13-01177 | 11/01/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Deane
Respondent Lawyers(s): Robert Searles Deane
Arbitrator(s): Tina E. Patterson
Hearing Site: Baltimore, MD
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| 13-01231 | 11/01/2013 | Claimant(s): Timothy Gibson
Claimant Lawyers(s): Steven M. Malina
Respondent(s): Karyl Amstutz, Randall Amstutz
Respondent Lawyers(s): Lindsay M. Hurni
Arbitrator(s): Enrico A. Mazzoli
Hearing Site: Indianapolis, IN
| | Expungement |
| 12-02116 | 10/31/2013 | Claimant(s): Richard Silver
Claimant Lawyers(s): John D. Singer
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kenneth Ashton
Arbitrator(s): Glen R. Stifelman, Eugene G. P. Byrne, Roger L Gavan
Hearing Site: New York, NY
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| 13-01376 | 10/31/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Owen Parr
Respondent Lawyers(s): Owen G. Parr
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
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| 13-01377 | 10/31/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken Massey
Respondent(s): William Taylor
Respondent Lawyers(s): William H. Taylor
Arbitrator(s): Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
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| 10-03181 | 10/29/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Watson
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): Victor B. Taube, Henry L. Dahl, Richard Marc Weinroth
Hearing Site: Phoenix, AZ
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