| 11-02217 | 07/23/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Eric DeMarcus, William Yates
Respondent Lawyers(s): Eric DeMarcus, William P. Wallenstein
Arbitrator(s): Edwin C. Shiver, Gerald Joseph Wilfley, Martin Joel Fassler
Hearing Site: San Francisco, CA
| | |
| 11-04651 | 07/23/2013 | Claimant(s): Thomas Mikula
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Michael J. Meeusen, Richard Joseph Rankin, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | |
| 12-01091 | 07/23/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan Marmion Christensen
Respondent(s): Joseph Perticone
Respondent Lawyers(s): Stephen Seeger
Arbitrator(s): David S. Billet
Hearing Site: New York, NY
| | |
| 11-00469 | 07/22/2013 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Robert B. Ericson
Respondent(s): Trevor Rahn
Respondent Lawyers(s): Leonard Steiner
Arbitrator(s): Alan Stamm, Gary Timothy Haight, Dean Schneider
Hearing Site: Los Angeles, CA
| | |
| 12-02548 | 07/19/2013 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Jacquelyn Mohr
Respondent(s): Andrew Kardish
Respondent Lawyers(s): Andrew Vincent Kardish
Arbitrator(s): Cathleen M. Cobb, Benjamin F. Breslauer, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | |
| 12-04035 | 07/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex M. Komoroski
Respondent(s): Michael Koletar
Respondent Lawyers(s): Michael Charles Koletar
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | |
| 12-04072 | 07/19/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney R. Reid
Respondent(s): Paul Piscitelli
Respondent Lawyers(s): Paul Joseph Piscitelli
Arbitrator(s): Noel K. Evans
Hearing Site: Orlando, FL
| | |
| 12-04351 | 07/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alex Komoroski
Respondent(s): Byron Brook
Respondent Lawyers(s): Byron Alan Brook
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | |
| 13-00825 | 07/19/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Michael Clegg
Respondent Lawyers(s): Michael G. Clegg
Arbitrator(s): David P. Slater
Hearing Site: Orlando, FL
| | |
| 12-00766 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin J. Smith
Respondent(s): Matthew Kallman
Respondent Lawyers(s): David R. Bohm
Arbitrator(s): Michael S. Hill, James M. Stern, Alan A. Sachs
Hearing Site: St. Louis, MO
| | |
