| 13-00721 | 08/28/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): Michael Jilling
Respondent Lawyers(s): Michael Jilling
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Providence, RI
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| 11-03803 | 08/26/2013 | Claimant(s): Mark Robertson
Claimant Lawyers(s): David R. Koch
Respondent(s): Equity Services.
Respondent Lawyers(s): Ian McKenny
Arbitrator(s): Alan M. Rosen, Stephen F. Kempa, Daniel Clay McGuire
Hearing Site: Las Vegas, NV
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| 12-02060 | 08/26/2013 | Claimant(s): Craig Hulet
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Stacey N. Schmidt
Arbitrator(s): Thomas F. Shine, Stuart S. Billington, Anne H. Orr
Hearing Site: Jacksonville, FL
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| 13-00527 | 08/26/2013 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Loren Ackerman
Respondent Lawyers(s): Loren John Ackerman
Arbitrator(s): Mary C. Kelleher
Hearing Site: Manchester, NH
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| 12-03252 | 08/23/2013 | Claimant(s): Stewart Lampert
Claimant Lawyers(s): Stewart R. Lampert
Respondent(s): Morgan Joseph Triartisan LLC
Respondent Lawyers(s): Thalia Cody
Arbitrator(s): David S. Paul, Alice Holly Oshins, Robert Elliot Harrison
Hearing Site: New York, NY
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| 13-00614 | 08/23/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ian L. Reynolds
Respondent(s): Michael Davenport
Respondent Lawyers(s): Michael Derrick Davenport
Arbitrator(s): Bernard A. Becker
Hearing Site: Miami, FL
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| 10-03540 | 08/22/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Ferneding
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Robert C. Denenberg, Jeff Abrams, Joseph G. Werner
Hearing Site: Dallas, TX
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| 13-00095 | 08/22/2013 | Claimant(s): Deborah Jones
Claimant Lawyers(s): Marianna Cline
Respondent(s): Comerica Securities Inc.
Respondent Lawyers(s): Michael P. Coakley
Arbitrator(s): Robert J. Scafuri, John R. Main, Richard Joseph Rankin
Hearing Site: Detroit, MI
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| 13-00143 | 08/22/2013 | Claimant(s): SII Investments.
Claimant Lawyers(s): Carlos E. Mustelier
Respondent(s): Gerald Plachta
Respondent Lawyers(s): Gerald Jeffry Plachta
Arbitrator(s): Stuart K. Furman
Hearing Site: Jacksonville, FL
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| 13-00145 | 08/22/2013 | Claimant(s): David Prockter
Claimant Lawyers(s): Mark D. Knoll
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark J. Happe
Hearing Site: New York, NY
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