| 12-01373 | 07/18/2013 | Claimant(s): Jeffrey Springer
Claimant Lawyers(s): Thomas J. Momjian
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Rosemary S. Gousman
Arbitrator(s): Sheldon Seligsohn, Richard Frank Colello, David F. Griesing
Hearing Site: Philadelphia, PA
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| 12-04069 | 07/18/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney Rogers Reid
Respondent(s): Nicholas Russell
Respondent Lawyers(s): Nicholas James Russell
Arbitrator(s): Noel K. Evans
Hearing Site: Orlando, FL
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| 12-04357 | 07/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Lisa M. Lewis
Respondent(s): Deanna Kakouris
Respondent Lawyers(s): Deanna Zimmer Kakouris
Arbitrator(s): Frederick Michael Switzer
Hearing Site: St. Louis, MO
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| 13-00105 | 07/17/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): David Naumann
Respondent Lawyers(s): David M. Naumann
Arbitrator(s): Bertrand C. Moser
Hearing Site: Houston, TX
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| 11-02354 | 07/16/2013 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Paula Moats
Respondent Lawyers(s): Paula Leuchs Moats
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
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| 11-03603 | 07/15/2013 | Claimant(s): E1 Asset Management.
Claimant Lawyers(s): Charles M. O'Rourke
Respondent(s): John Thomas Financial
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Charles Kleinbaum, Robert I. Adler, Jettie K. Thomas
Hearing Site: New York, NY
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| 12-02638 | 07/15/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Alexander J. Nassar
Respondent(s): Daniel Regan
Respondent Lawyers(s): Daniel Charles Regan
Arbitrator(s): John J. Kenny
Hearing Site: Boston, MA
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| 12-04269 | 07/15/2013 | Claimant(s): John Garvey
Claimant Lawyers(s): Christina R. LoConte
Respondent(s): Bradford Bono
Respondent Lawyers(s): Kevin D. Galbraith
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | Expungement |
| 13-00200 | 07/15/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Pylar Pinkston
Respondent Lawyers(s): Pylar Siria Pinkston
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 11-02369 | 07/12/2013 | Claimant(s): Paula Dumas
Claimant Lawyers(s): Joel Ewusiak
Respondent(s): Gordon Jones, Donald L. Hagan d/b/a Day Hagan
Respondent Lawyers(s): Andrew Clayton
Arbitrator(s): Edith N. Dinneen, Darryl C. Wilson, Keith M. Crouse
Hearing Site: Tampa, FL
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