| 12-01246 | 08/14/2013 | Claimant(s): Michael French
Claimant Lawyers(s): John L. Franco
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Eric D. Jones
Arbitrator(s): Louis H. Miron, Albert J. Cirone, Patrick W. McKeon
Hearing Site: Montpelier, VT
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| 08-03729 | 08/13/2013 | Claimant(s): Thomas Heller
Claimant Lawyers(s): Richard W. Kearney
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): B. J. Krintzman, Pamela E. Berman, John J. Kenny
Hearing Site: Boston, MA
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| 11-02772 | 08/13/2013 | Claimant(s): John Reeve
Claimant Lawyers(s): Rodney K Vincent
Respondent(s): Dennis Flanagan
Respondent Lawyers(s): Aaron Resnick,Esq.
Arbitrator(s): Barry David Thorpe
Hearing Site: Miami, FL
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| 12-00888 | 08/13/2013 | Claimant(s): Kim Timmins
Claimant Lawyers(s): Pamela Aurelien
Respondent(s): Deutsche Bank Securities., Mario Saljanin
Respondent Lawyers(s): Karen M. Steel
Arbitrator(s): Denzil J. Klippel, Alfonso G. Figliolia, Mary Ellen Burns
Hearing Site: New York, NY
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| 12-01106 | 08/13/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): David Ayres
Respondent Lawyers(s): Timothy J. O'Connor
Arbitrator(s): Howard B. Cohen, Rocco Michael Scanza, Francis Xavior Daumen
Hearing Site: Syracuse, NY
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| 12-01481 | 08/13/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Jay Golden
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Gloria O. North, Mark I. Roth, Andrew R. Present
Hearing Site: Ft. Lauderdale, FL
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| 12-03144 | 08/13/2013 | Claimant(s): Zhi Poon
Claimant Lawyers(s): Zhi C. Poon
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Franklin P. Chapman, Robert B. Schmidt, Steven David Leader
Hearing Site: New York, NY
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| 13-00540 | 08/13/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney M. Rogers Reid
Respondent(s): Steven Pagartanis
Respondent Lawyers(s): Steven Pagartanis
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 13-00840 | 08/12/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Richard Catanese
Respondent Lawyers(s): Richard Catanese
Arbitrator(s): Daniel J. McCarthy
Hearing Site: Philadelphia, PA
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| 12-01115 | 08/09/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Thomas Rittenburg
Respondent(s): Henry Korngut
Respondent Lawyers(s): James A. Hughes
Arbitrator(s): Michael J. Fish
Hearing Site: San Francisco, CA
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