| 12-01668 | 07/26/2013 | Claimant(s): Popular Securities.
Claimant Lawyers(s): Eyck O. Lugo-Rivera
Respondent(s): Gustavo del Valle Pagan
Respondent Lawyers(s): Anibal Lugo-Miranda
Arbitrator(s): Bernard (Bob) L. Loring, Charles Hoffman, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | |
| 12-02374 | 07/26/2013 | Claimant(s): Stanley Meyerson, TIA Group
Claimant Lawyers(s): Ross P. Tulman, Stanley F. Meyerson
Respondent(s): Williams Trading LLC
Respondent Lawyers(s): Jeffrey Norton
Arbitrator(s): John T. Meredith
Hearing Site: Columbus, OH
| | |
| 12-03515 | 07/26/2013 | Claimant(s): Lincoln Investment Planning.
Claimant Lawyers(s): Patrick M. Hitchens
Respondent(s): Alden Burnett
Respondent Lawyers(s): Alden Matthews Burnett
Arbitrator(s): James J. Stamos
Hearing Site: Chicago, IL
| | |
| 12-03830 | 07/26/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Rudi Buetterich
Respondent Lawyers(s): Rudi Orlando Buetterich
Arbitrator(s): Jacquelyn M. Shannon
Hearing Site: Wilmington, DE
| | |
| 12-03995 | 07/26/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): Danny Yarnell
Respondent Lawyers(s): Danny Leroy Yarnell
Arbitrator(s): W. Sean Kelleher
Hearing Site: Columbus, OH
| | |
| 12-04349 | 07/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Joseph L. Gordon
Respondent(s): Lance Hubeny
Respondent Lawyers(s): Sarah Grimes
Arbitrator(s): Robert E. Anderson
Hearing Site: Newark, NJ
| | |
| 12-00565 | 07/25/2013 | Claimant(s): David Schrohe
Claimant Lawyers(s): Jonathan Sack
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Francis X. Dee
Arbitrator(s): Sanford S. Stevens, Arthur H. Sobel, Roger L Gavan
Hearing Site: New York, NY
| | |
| 12-03652 | 07/25/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A Vollono
Respondent(s): Bruce Hutson
Respondent Lawyers(s): Bruce Parish Hutson
Arbitrator(s): Robert S. Sugarman
Hearing Site: Milwaukee, WI
| | |
| 13-00864 | 07/25/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S Brodherson
Respondent(s): Philip Winters
Respondent Lawyers(s): Philip William Winters
Arbitrator(s): Julian F. Santos
Hearing Site: New York, NY
| | |
| 13-00772 | 07/24/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David W. Robinson
Respondent(s): Elissa Ward, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jennifer A. Ermilio, Julia Green Sewruk
Arbitrator(s): Chesley Oriel
Hearing Site: Boston, MA
| | |
