| 11-02818 | 10/08/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Grant Andreasen
Respondent Lawyers(s): David W. Gutke
Arbitrator(s): David W. Dresnick
Hearing Site: Las Vegas, NV
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| 12-02336 | 10/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Melissa L. Zujkowski
Respondent(s): Brent Markley
Respondent Lawyers(s): John M. Gonzales
Arbitrator(s): Peter L. Pointer, W. Sean Kelleher, Carol M. Stoner
Hearing Site: Columbus, OH
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| 12-03266 | 10/08/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Emmanuel Kouyoumdjian
Respondent Lawyers(s): Emmanuel Kouyoumdjian
Arbitrator(s): Joseph L. Bernstein
Hearing Site: Boca Raton, FL
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| 13-00996 | 10/08/2013 | Claimant(s): Ryan Brookman
Claimant Lawyers(s): Ryan Paul Brookman
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Leo Kogan
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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| 12-01080 | 10/07/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason Roberts
Respondent(s): Anthony Vaccaro
Respondent Lawyers(s): Anthony F. Vaccaro
Arbitrator(s): Charles A. Joplin, Sherrie R. Abney, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 12-01997 | 10/07/2013 | Claimant(s): Matthew Plymell
Claimant Lawyers(s): Mary E. Hodges
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Gardiner B. Davis
Arbitrator(s): Leah A. Murray, Stuart D. Summers, David Brian Cohen
Hearing Site: St. Louis, MO
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| 08-00680 | 10/04/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Gill
Respondent Lawyers(s): Kevin T. Hoffman
Arbitrator(s): Robert H. Hughes, Margaret Hotopp, Eileen Devaney Leo
Hearing Site: Hartford, CT
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| 11-02612 | 10/04/2013 | Claimant(s): Vikram Kaul
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Lowell D. Johnston, Cirino M. Bruno, Richard Bryce Nesson
Hearing Site: New York, NY
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| 13-00615 | 10/04/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen Samuel Epstein
Respondent(s): Duc Tran, Joseph Pates
Respondent Lawyers(s): Duc Tien Tran, Joseph L. Pates
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
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| 13-00842 | 10/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Joseph Carpenter
Respondent Lawyers(s): Joseph Anthony Carpenter
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Tampa, FL
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