| 13-00330 | 06/21/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Susan E. Delaney
Respondent(s): Jonathan Muir
Respondent Lawyers(s): Jonathan S Muir
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
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| 12-04008 | 06/20/2013 | Claimant(s): Anthony Toto
Claimant Lawyers(s): Anthony R. Toto
Respondent(s): PNC Investments
Respondent Lawyers(s): Heather A. Pierce
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
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| 13-00557 | 06/20/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Audrey Hendricks
Respondent(s): Justin Fawcett
Respondent Lawyers(s): Justin Fawcett
Arbitrator(s): Arthur H. Geffen
Hearing Site: Dallas, TX
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| 11-01592 | 06/19/2013 | Claimant(s): Kevin Carey
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): ING Financial Advisers
Respondent Lawyers(s): David R. Jiminez
Arbitrator(s): Barry Quint, Lewis S. Kurlantzick, Robert L. Chase
Hearing Site: Hartford, CT
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| 11-02651 | 06/19/2013 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Richard D. Pullman
Respondent(s): Bruce Lewin
Respondent Lawyers(s): Bruce Lewin
Arbitrator(s): Donald Vincent Enright, G. Maynard Green, C. Sumpter Logan
Hearing Site: Dallas, TX
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| 12-01868 | 06/19/2013 | Claimant(s): Nicholas Mangone
Claimant Lawyers(s): Neal Brickman
Respondent(s): Tullett Prebon Financial Services LLC
Respondent Lawyers(s): Adam Pekor
Arbitrator(s): Robert L. Salzberg, Sandra Gale Behrle, Joel P. Mellis
Hearing Site: New York, NY
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| 12-03446 | 06/19/2013 | Claimant(s): Constantine Koukos, Morgan Stanley
Claimant Lawyers(s): Patrick R. Mahoney
Respondent(s): Mark Ellison Glover
Respondent Lawyers(s): Mark Ellison Glover
Arbitrator(s): Robert F. Saint-Aubin, Daniel David Kopman, Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | Expungement |
| 12-01026 | 06/18/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Patrick J. Whalen
Respondent(s): Kenneth Williams
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Thomas B. Phillips, M. W. Gear, Walter N. Vernon
Hearing Site: Kansas City, MO
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| 12-01351 | 06/18/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Eric Raphan
Respondent(s): Randall Silvey
Respondent Lawyers(s): Russell L. Powell
Arbitrator(s): James C. Morrow
Hearing Site: Kansas City, MO
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| 13-00173 | 06/17/2013 | Claimant(s): Brannan Vaughan
Claimant Lawyers(s): Timm A. VerDuin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): William W. Haskell
Hearing Site: San Francisco, CA
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