| 12-00953 | 06/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Randall Krenzin, William Zurn
Respondent Lawyers(s): Jeffrey L. Malek
Arbitrator(s): Carlos Richard Mangum, Thomas C. McNally, William Michael Samsel
Hearing Site: San Francisco, CA
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| 12-02243 | 06/11/2013 | Claimant(s): Garrett Grove
Claimant Lawyers(s): John D. Grove
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Arocles Aguilar
Hearing Site: San Francisco, CA
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| 12-02792 | 06/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gregory Paine
Respondent Lawyers(s): Jonathan M. Harris
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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| 12-03498 | 06/07/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Mark Wood
Respondent Lawyers(s): Mark Stephen Wood
Arbitrator(s): R. Phillip Reed
Hearing Site: Kansas City, MO
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| 12-03747 | 06/07/2013 | Claimant(s): Robert Musante
Claimant Lawyers(s): Robert Raymond Musante
Respondent(s): Phillip Declet
Respondent Lawyers(s): Phillip Dwight Declet
Arbitrator(s): Linda I. Thomas
Hearing Site: Portland, OR
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| 11-01807 | 06/06/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Peter Mullen
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Madelon M. Rosenfeld, Martin Hunger, Ivan W. Harper
Hearing Site: New York, NY
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| 12-01454 | 06/06/2013 | Claimant(s): Planner Securities LLC
Claimant Lawyers(s): John Snyder
Respondent(s): IAT Markets LLC
Respondent Lawyers(s): Augustine F. Udo
Arbitrator(s): W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 12-03716 | 06/06/2013 | Claimant(s): Thomas Bartholomew
Claimant Lawyers(s): Robert K. Jamieson
Respondent(s): Charlotte Stone, Lindsey H. Perry, As Co-Trustee, Jr., William McCurry
Respondent Lawyers(s): Robert Rex
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
| | Expungement |
| 12-04070 | 06/06/2013 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Courtney Rogers Reid
Respondent(s): David Strunc
Respondent Lawyers(s): David Isaiah Strunc
Arbitrator(s): Jack A. Helms
Hearing Site: Orlando, FL
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| 12-04078 | 06/06/2013 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Beverly Jo Slaughter
Respondent(s): Richie Crockett
Respondent Lawyers(s): Richie Layne Crockett
Arbitrator(s): Amy L. Wachs
Hearing Site: Phoenix, AZ
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