| 12-04132 | 09/12/2013 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Dimitrios Koutsoubos
Respondent Lawyers(s): Dimitrios Koutsoubos
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 13-00018 | 09/12/2013 | Claimant(s): Kevin Sullivan
Claimant Lawyers(s): Robert Nelson
Respondent(s): Douglas Evans, Stalwart Capital
Respondent Lawyers(s): Douglas Craig Evans
Arbitrator(s): B. J. Krintzman
Hearing Site: Boston, MA
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| 13-00696 | 09/12/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher Griesmeyer
Respondent(s): David Van Rensselaer
Respondent Lawyers(s): David Van Rensselaer
Arbitrator(s): John D. Mattingly
Hearing Site: Columbia, SC
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| 13-00806 | 09/12/2013 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Jay M. Israel
Respondent(s): Cesar Rodriguez
Respondent Lawyers(s): Cesar Rodriguez
Arbitrator(s): Sondra Sellars
Hearing Site: Chicago, IL
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| 11-04058 | 09/11/2013 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Eric Cook, John Cate, Matthew Burton, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David J. Carr, Timothy K. Ryan, Todd J. Kaiser
Arbitrator(s): Paul Lansing, Mary Ellen Backer, F. Bradford Johnson
Hearing Site: Indianapolis, IN
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| 12-00315 | 09/11/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Thomas Weaver
Respondent Lawyers(s): Thomas Andrew Weaver
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
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| 12-03963 | 09/11/2013 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Gary Klein
Respondent(s): Michael Kolacz
Respondent Lawyers(s): Michael D. Kolacz
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
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| 13-00875 | 09/11/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): James Haugen
Respondent Lawyers(s): James Haugen
Arbitrator(s): Benjamin L. Abramowitz
Hearing Site: Jacksonville, FL
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| 12-01587 | 09/10/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitch Albert
Respondent(s): Christopher Allen
Respondent Lawyers(s): Christopher Michael Allen
Arbitrator(s): Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
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| 12-01960 | 09/10/2013 | Claimant(s): Samuel Lombardo
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): The Prudential Insurance Company Of Amer
Respondent Lawyers(s): Robin H. Rome
Arbitrator(s): Michael A. Ruderman
Hearing Site: New York, NY
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