| 12-01946 | 08/09/2013 | Claimant(s): Lynn Sylvia
Claimant Lawyers(s): David Williams Russell
Respondent(s): PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Rody P. Biggert
Hearing Site: Indianapolis, IN
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| 12-04091 | 08/09/2013 | Claimant(s): Mark Dubel
Claimant Lawyers(s): Michael A. Kalish
Respondent(s): Dallas Blagg, Robin Ward-Blagg
Respondent Lawyers(s): Jason A. Archinaco
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | Expungement |
| 12-00030 | 08/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Geremy Anderson
Respondent Lawyers(s): Geremy R. Anderson
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
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| 12-00260 | 08/08/2013 | Claimant(s): James Nangle
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): SG Americas Securities, Societe Generale
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Martin Jay Siegel, David Finnegan, Peter McClellan Wright
Hearing Site: New York, NY
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| 12-01205 | 08/08/2013 | Claimant(s): Saratoga Capital Markets
Claimant Lawyers(s): Kevin Tingley
Respondent(s): J.P. Morgan Clearing Corp.
Respondent Lawyers(s): Lauren Fox
Arbitrator(s): Farrell C. Glasser, Susan E. Harkins, Sally Jane Sancimino
Hearing Site: New York, NY
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| 12-02222 | 08/08/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Jerry Nichols
Respondent Lawyers(s): Jerry Lee Nichols
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
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| 12-04196 | 08/08/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Gina Carosella
Respondent Lawyers(s): Christopher J. Carcich
Arbitrator(s): Karimu F. Hill-Harvey
Hearing Site: Newark, NJ
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| 13-01036 | 08/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Brendon Lyden
Respondent Lawyers(s): Brendon Lyden
Arbitrator(s): Robert G. O'Brien
Hearing Site: New York, NY
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| 11-00886 | 08/07/2013 | Claimant(s): Bryan Schon
Claimant Lawyers(s): Brian Witus
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, John F. Burns
Hearing Site: Detroit, MI
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| 12-03512 | 08/07/2013 | Claimant(s): Hari Polavarapu
Claimant Lawyers(s): Hari Chandra Polavarapu
Respondent(s): Auriga USA
Respondent Lawyers(s): Richard W. Chun
Arbitrator(s): Barbara J. Glenns, Theresa R. Joyner, Linda Ashley
Hearing Site: New York, NY
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