| 13-00989 | 08/22/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Patrick Colligan
Respondent Lawyers(s): Patrick Colligan
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
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| 11-04129 | 08/21/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Patrick Bray
Respondent Lawyers(s): W. Nerlon Kirkland
Arbitrator(s): Maurice M. Feller
Hearing Site: Tampa, FL
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| 12-00385 | 08/21/2013 | Claimant(s): Richard Groff, Wealth Management International, Ltd.
Claimant Lawyers(s): Edwin A. Barkel
Respondent(s): Adam Carlini, Jackie Groff, Jennifer Carlini, Dynamic Wealth Management LLC
Respondent Lawyers(s): Cory L. Braddock, Edwin A. Barkel
Arbitrator(s): Charles W. Herf, Eugene R. Nielson, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 12-04233 | 08/21/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Edward Zerweck
Respondent Lawyers(s): Edward Herman Zerweck
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 12-04231 | 08/20/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Christina Heller
Respondent(s): Dennis Pascarella
Respondent Lawyers(s): Dennis Eugene Pascarella
Arbitrator(s): Frank C. Fogl
Hearing Site: Cincinnati, OH
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| 12-04301 | 08/20/2013 | Claimant(s): Franklin Miller
Claimant Lawyers(s): Peter Brown Dolan
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Doris V. Knotter, Terry D. Anderson, Randy R. Maher
Hearing Site: San Diego, CA
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| 13-00660 | 08/20/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Michael Turnyanszki
Respondent Lawyers(s): Michael J Turnyanszki
Arbitrator(s): Christine Moore, Moshe Cohen
Hearing Site: Albany, NY
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| 13-01077 | 08/20/2013 | Claimant(s): Francis Mcgrail, Stuart Williams
Claimant Lawyers(s): T. Peter R. Pound
Respondent(s): Jane Barron
Respondent Lawyers(s): Peter Pease
Arbitrator(s): Gene M. Bauer
Hearing Site: Boston, MA
| | Expungement |
| 12-00201 | 08/19/2013 | Claimant(s): J. Lee
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Capitol Securities Management., Directed Services LLC, ING USA Annuity and Life Inssurance Co.
Respondent Lawyers(s): Janet K. DeCosta, William P. Thornton
Arbitrator(s): Stuart H. Dunn, Leon Henderson, Peter B. Vaden
Hearing Site: Richmond, VA
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| 12-01113 | 08/19/2013 | Claimant(s): Andrew Schopick
Claimant Lawyers(s): Andrew Schopick
Respondent(s): Fieldpoint Private Securities
Respondent Lawyers(s): Richard Slavin
Arbitrator(s): Robert Pincus, William T. Brice, James Rosenblum
Hearing Site: Hartford, CT
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