| 13-01325 | 09/20/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Douglas Hyman, Jonathan D. Berg
Respondent(s): Naseem Salamah
Respondent Lawyers(s): Rene Hernandez
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
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| 12-02453 | 09/19/2013 | Claimant(s): Barclays Capital Inc.
Claimant Lawyers(s): Patrick G. King
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Frank Samuelsohn, Susan L. Walker, Marcia Bonita Gevers
Hearing Site: Chicago, IL
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| 12-04230 | 09/19/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Sean Kelly
Respondent Lawyers(s): Sean J. Kelly
Arbitrator(s): James C. Hoover
Hearing Site: Atlanta, GA
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| 11-04371 | 09/18/2013 | Claimant(s): Gary Burgess
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Ira Rosenstein
Arbitrator(s): Daniel R. Formeller, David M. Zimberoff, Harvey R. Herman
Hearing Site: Chicago, IL
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| 11-01131 | 09/17/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Carl Watts, James Nastasi, Richard Braitman, Steven Brettler
Respondent Lawyers(s): Michael J. Dunn, Samuel P. Mauch
Arbitrator(s): Jim Geiger, Jack H. McNairy, John James McGovern
Hearing Site: Philadelphia, PA
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| 12-01263 | 09/17/2013 | Claimant(s): Richard Bensoussan
Claimant Lawyers(s): Elizabeth Anne Musella
Respondent(s): John Fay, Laurent Cunin, Newedge USA
Respondent Lawyers(s): Mark R. Zancolli
Arbitrator(s): Eugene G. P. Byrne, Daniel Adam Schlein, Joseph Louis Sherman
Hearing Site: New York, NY
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| 13-00289 | 09/17/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): John Diederich
Respondent Lawyers(s): John G. Diederich
Arbitrator(s): Murray S. Levin
Hearing Site: Kansas City, MO
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| 12-03214 | 09/16/2013 | Claimant(s): Prudential Annuities Distributors
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Eric J. Dec
Arbitrator(s): Richard Slavin, Alice Holly Oshins, James J. Gadarowski
Hearing Site: Hartford, CT
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| 13-01076 | 09/16/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Richard Borish
Respondent Lawyers(s): Richard E. Borish
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
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| 13-00977 | 09/13/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Carp
Respondent(s): Scott Nicol
Respondent Lawyers(s): Scott Cameron Nicol
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
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