| 12-02827 | 10/28/2013 | Claimant(s): CCO Investment Services Corp., RBS Citizens, N.A.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Stacie Weber, Steven Tetens, Janney Montgomery Scott LLC
Respondent Lawyers(s): Christopher Stief, David K. Silverberg
Arbitrator(s): Stuart M. Schwartz, Sheldon Dinowitz, Steven C. Kempisty
Hearing Site: Albany, NY
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| 12-04052 | 10/28/2013 | Claimant(s): Michael Didato
Claimant Lawyers(s): Michael R. DiDato
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Susan J. Buckley, James C. Hoover, Donald John Andres
Hearing Site: Columbia, SC
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| 13-01527 | 10/28/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Richard Flecca
Respondent Lawyers(s): Richard Warren Flecca
Arbitrator(s): Daniel P. Lund
Hearing Site: Orlando, FL
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| 12-04172 | 10/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Francis Gerham
Respondent Lawyers(s): Donald Neidhardt
Arbitrator(s): Frank C. Fogl
Hearing Site: Buffalo, NY
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| 13-01224 | 10/25/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Andrew J. Dorman
Respondent(s): Richard Sandru
Respondent Lawyers(s): Richard Patrick Sandru
Arbitrator(s): John W. Eichleay
Hearing Site: Cleveland, OH
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| 12-04247 | 10/24/2013 | Claimant(s): Ben Brissi
Claimant Lawyers(s): Ben B. Brissi
Respondent(s): Bradley Reifler, Christopher Engel, David Wasitowski, Forefront Capital Management, Forefront Capital Markets LLC, Forefront Management Group
Respondent Lawyers(s): Carolina Reynolds
Arbitrator(s): Jettie K. Thomas
Hearing Site: New York, NY
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| 12-01576 | 10/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Steven Perillo
Respondent Lawyers(s): Steven Perillo
Arbitrator(s): Bernard M. Levine
Hearing Site: Newark, NJ
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| 13-00605 | 10/23/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney Rogers Reid
Respondent(s): Michael Blanchar
Respondent Lawyers(s): Sanford J. Gerber
Arbitrator(s): Joel Steven Arogeti
Hearing Site: Atlanta, GA
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| 11-04019 | 10/22/2013 | Claimant(s): Jason Duhon
Claimant Lawyers(s): William M. Fontenot
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Eric D. Raphan
Arbitrator(s): Robert O. Halbert, Thomas L. Dueber, Richard Djokic
Hearing Site: Salt Lake City, UT
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| 12-01103 | 10/22/2013 | Claimant(s): Robert Fisher
Claimant Lawyers(s): Jeffrey J. Liotta
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): William M. Getzoff, David J. Hase, Laura Anne Lamberg
Hearing Site: Milwaukee, WI
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