| 12-04171 | 07/02/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): David Kuffner
Respondent Lawyers(s): David G. Kuffner
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
| | |
| 10-03377 | 07/01/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Allen Gibson
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Barry S. Jacobson
Hearing Site: New York, NY
| | |
| 12-04293 | 07/01/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | |
| 13-00376 | 06/28/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): John Donovan
Respondent Lawyers(s): John P. Donovan
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 11-03855 | 06/27/2013 | Claimant(s): Darius Saib
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): LIoyd B. Chinn
Arbitrator(s): Howard J. Stiefel, Carole L. Green, Bernard J. McGuire
Hearing Site: New York, NY
| | |
| 12-03786 | 06/27/2013 | Claimant(s): Francis Traynor
Claimant Lawyers(s): Matthew J. Gilligan
Respondent(s): Schaedle Worthington Hyde Properties
Respondent Lawyers(s): Pratt H. Davis
Arbitrator(s): R. Van Young
Hearing Site: Atlanta, GA
| | Expungement |
| 12-03918 | 06/27/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Allison Ember, Daniel Ember UILUTMA, Michael Ember UILUTMA, G. Howard and Patricia R. Ember JTTEN
Respondent Lawyers(s): G. Howard Ember
Arbitrator(s): Phillips M. Montross, Michael Howard Rosenbloom, Jacqueline Stanley Lustig
Hearing Site: Chicago, IL
| | Expungement |
| 12-00842 | 06/25/2013 | Claimant(s): Lewis Downs
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Anderson & Strudwickorporated
Respondent Lawyers(s): Justin Joseph D'Elia
Arbitrator(s): Glenn H. Catalano, Peter B. Loewenberg
Hearing Site: Richmond, VA
| | |
| 12-04173 | 06/24/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Decker
Respondent Lawyers(s): Kevin M. Roche
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | |
| 12-00763 | 06/21/2013 | Claimant(s): Benjamin Hutchen
Claimant Lawyers(s): Jeffrey Patton
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian J. Poronsky
Arbitrator(s): Richard G Clemens, Melvin Eugene Miller, G. Marshall Abbey
Hearing Site: Chicago, IL
| | |
