| 13-00844 | 10/04/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Jeffrey Wesson
Respondent Lawyers(s): Jeffrey Wesson
Arbitrator(s): Shari B. Broder
Hearing Site: Manchester, NH
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| 11-04549 | 10/03/2013 | Claimant(s): Anderson & Strudwick Investment Corp., Anderson & Strudwickorporated
Claimant Lawyers(s): Robert Taylor Richard
Respondent(s): Donna Jenkins
Respondent Lawyers(s): Donna Jenkins
Arbitrator(s): Oliver J. Janney
Hearing Site: Tampa, FL
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| 12-00119 | 10/03/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Mark J. Alonso
Respondent(s): Otto Font
Respondent Lawyers(s): Otto Francisco Font
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 12-03098 | 10/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Timothy N. Will
Respondent(s): Catherine Sweeney
Respondent Lawyers(s): Catherine Rose Sweeney
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
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| 13-01183 | 10/03/2013 | Claimant(s): Michael Simons
Claimant Lawyers(s): Michael Simons
Respondent(s): Miller Tabak + Co.
Respondent Lawyers(s): Glenn Marone
Arbitrator(s): Alvin Green
Hearing Site: New York, NY
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| 13-00698 | 10/02/2013 | Claimant(s): Jesse Litvak
Claimant Lawyers(s): Jonathan S. Sack
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Boyd M. Johnson
Arbitrator(s): David E. Robbins, David S. Paul, Louis Fox Burke
Hearing Site: New York, NY
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| 13-01785 | 10/02/2013 | Claimant(s): Kenneth Stern
Claimant Lawyers(s): Wendy S. Menghini
Respondent(s): Rohinton Rivetna
Respondent Lawyers(s): Benjamin Lapin
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 12-04232 | 10/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Douglas Lounsbury
Respondent Lawyers(s): Douglas Milton Lounsbury
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
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| 13-00260 | 10/01/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Payne L. Templeton
Respondent(s): James O'Brien IRA, The James E. O'Brien MD Separate Propert
Respondent Lawyers(s): James O'Brien
Arbitrator(s): Elizabeth A. Copley, Vincent J. Natoli, Marvin B. Karelitz
Hearing Site: Los Angeles, CA
| | Expungement |
| 13-00926 | 10/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Daniel Brown
Respondent Lawyers(s): Daniel Montese Brown
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
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