| 12-03838 | 09/30/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): R. Rhett Owens
Respondent(s): Edward Hamilton
Respondent Lawyers(s): Edward Eugene Hamilton
Arbitrator(s): R. Van Young
Hearing Site: Atlanta, GA
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| 11-00683 | 09/27/2013 | Claimant(s): Harry Friedman
Claimant Lawyers(s): Daniel Hirschel
Respondent(s): Ridge Clearing & Outsourcing Solutions
Respondent Lawyers(s): Richard J. Babnick
Arbitrator(s): Richard D. Chusid, Sandra J. Mullings, Lowell D. Johnston
Hearing Site: New York, NY
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| 13-00817 | 09/27/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Katrina Mccabe
Respondent Lawyers(s): Katrina Marie McCabe
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
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| 13-01049 | 09/27/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Edward Grondahl
Respondent Lawyers(s): Edward Eric Grondahl
Arbitrator(s): Lavon C. Phillips
Hearing Site: Minneapolis, MN
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| 13-01474 | 09/27/2013 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Kola Agbaje
Respondent Lawyers(s): Kola Abdulrahman Agbaje
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
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| 12-01025 | 09/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Angela Keaveny
Respondent Lawyers(s): Angela Marie Keaveny
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 13-00127 | 09/26/2013 | Claimant(s): David Tansor
Claimant Lawyers(s): David A. Gehn
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Mitchell Lee Marinello
Hearing Site: Milwaukee, WI
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| 12-01843 | 09/25/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Cooper
Respondent Lawyers(s): Thomas Stephen Cooper
Arbitrator(s): Randall S. Strause
Hearing Site: Nashville, TN
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| 12-02469 | 09/25/2013 | Claimant(s): Michael Farah
Claimant Lawyers(s): David S. Harrison
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. LaChaussee
Arbitrator(s): Philip W. Burge, Robert F. Saint-Aubin, Thomas R. Watkins
Hearing Site: Los Angeles, CA
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| 13-00165 | 09/25/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Evelyn Correa
Respondent Lawyers(s): Evelyn Correa
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Miami, FL
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