| 13-00202 | 08/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Yana Kromo
Respondent(s): Denise Thornburgh
Respondent Lawyers(s): Denise L. Thornburgh
Arbitrator(s): Leo G. Stern
Hearing Site: Minneapolis, MN
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| 12-01577 | 08/06/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Darwin Campoverde
Respondent Lawyers(s): Darwin Douglas Campoverde
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
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| 12-02119 | 08/06/2013 | Claimant(s): Richard Lumelleau
Claimant Lawyers(s): John D. Singer
Respondent(s): Rencap Securities.
Respondent Lawyers(s): Brian L. Friedman
Arbitrator(s): Mitchell S. Friedman, Joseph A. Forgione, W. Alexander Melbardis
Hearing Site: New York, NY
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| 12-01844 | 08/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): John Chamblee
Respondent Lawyers(s): John David Chamblee
Arbitrator(s): Robert A. Dean
Hearing Site: Atlanta, GA
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| 11-03778 | 08/01/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Jeremy Hare
Respondent Lawyers(s): Jeremy David Hare
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
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| 11-04112 | 07/30/2013 | Claimant(s): Orin Wexler
Claimant Lawyers(s): David Hirschberg
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Patrick W. Shea
Arbitrator(s): Anthony Marchese, Harold I. Geringer, Brian Lawrence Berlandi
Hearing Site: New York, NY
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| 13-00662 | 07/30/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L Gordon
Respondent(s): Emilio Valdes
Respondent Lawyers(s): Emilio Javier Valdes
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
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| 12-00862 | 07/29/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan Marmion Christensen
Respondent(s): Todd Leonhardt
Respondent Lawyers(s): Dennis J. Smith
Arbitrator(s): Alan Shaw, Patrick R. Westerkamp, Esq., Edward James O'Dowd
Hearing Site: Newark, NJ
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| 12-01695 | 07/29/2013 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): John Lindsey
Respondent Lawyers(s): Shirley Hayton
Arbitrator(s): Robert D. Sussin, Efren Cleofe, Herbert Murez
Hearing Site: Los Angeles, CA
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| 12-00152 | 07/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jason K. Roberts
Respondent(s): Danford Meischen
Respondent Lawyers(s): J.B. Trey Henderson
Arbitrator(s): Daniel J. Pagnano, Nichole C. Ake, Clark Willis Richards
Hearing Site: Houston, TX
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