| 12-04229 | 08/19/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Joshua Parke
Respondent Lawyers(s): Joshua Adam Parke
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | |
| 13-00069 | 08/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica Klein
Respondent(s): Ali Qureshi
Respondent Lawyers(s): Ali Kamran Qureshi
Arbitrator(s): Henry G. Plaster
Hearing Site: Washington, DC
| | |
| 13-00201 | 08/19/2013 | Claimant(s): James Anderson
Claimant Lawyers(s): James Norris Anderson
Respondent(s): Reva Capital Markets LLC
Respondent Lawyers(s): Robert I. Rabinowitz
Arbitrator(s): Abigail J. Pessen
Hearing Site: New York, NY
| | |
| 13-00757 | 08/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Christopher Bouyear
Respondent Lawyers(s): Christopher Bouyear
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | |
| 13-00321 | 08/16/2013 | Claimant(s): Lincoln Investment Planning
Claimant Lawyers(s): Patrick M. Hitchens
Respondent(s): Gordon Ward
Respondent Lawyers(s): Gordon Burke Ward
Arbitrator(s): Cynthia H. Plishtin
Hearing Site: Newark, NJ
| | |
| 11-00598 | 08/15/2013 | Claimant(s): Serge Nahas
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): David Finnegan, Keely D. Parr, Linda J. Baer, Michael F. Spellman
Hearing Site: New York, NY
| | |
| 12-01127 | 08/15/2013 | Claimant(s): BOSC.
Claimant Lawyers(s): Jo Lynn Jeter
Respondent(s): Brandon Henry, Carey Kesner, Jay Goldberg
Respondent Lawyers(s): Millard A. Johnson
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
| | |
| 12-03758 | 08/15/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): M. Will
Respondent Lawyers(s): William A. Settina
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | |
| 11-03461 | 08/14/2013 | Claimant(s): Susan Poller-Newman
Claimant Lawyers(s): Christopher C. Coss
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): James P. McLaughlin
Arbitrator(s): Philip S. Cottone, Rafael A. Porrata-Doria, Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | |
| 11-04550 | 08/14/2013 | Claimant(s): Anderson & Strudwick Investment Corp., Anderson & Strudwickorporated
Claimant Lawyers(s): Justin Joseph D'Elia
Respondent(s): Donald Gunn
Respondent Lawyers(s): Dionne C. Fajardo
Arbitrator(s): Roger W. Van Deusen, Jeffrey R Fuller, Martin Salzman
Hearing Site: Tampa, FL
| | |
