| 12-02214 | 05/31/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael J. Faley
Respondent(s): Francis Rizzo
Respondent Lawyers(s): Francis V. Rizzo
Arbitrator(s): Mitchell S. Friedman
Hearing Site: New York, NY
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| 12-03981 | 05/31/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Steven P. Pherson
Respondent(s): James Hansberger
Respondent Lawyers(s): James Clyde Hansberger
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
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| 10-04448 | 05/30/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Leopold Monaco
Respondent Lawyers(s): Leopold T. Monaco
Arbitrator(s): Alan Stamm, Alan S. Mevis, James H. Fehlberg
Hearing Site: Portland, OR
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| 12-03759 | 05/30/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Melissa A. Bevilacqua
Respondent(s): Jack Zotti
Respondent Lawyers(s): Jack Zotti
Arbitrator(s): Linda J. Baer
Hearing Site: Newark, NJ
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| 12-03909 | 05/30/2013 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Jason Steele
Respondent Lawyers(s): Jason Leon Steele
Arbitrator(s): Thomas W. Allen
Hearing Site: Raleigh, NC
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| 13-00115 | 05/30/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Yana Kromo
Respondent(s): John Zangari
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
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| 12-01501 | 05/29/2013 | Claimant(s): Stan Dreyfuss
Claimant Lawyers(s): Leonard Steiner
Respondent(s): RBC Capital Markets LLC, RBC Capital Markets Corporation, RBC Dain Rauscher.
Respondent Lawyers(s): Linda Claxton
Arbitrator(s): James R. Duncan, Elliott Zachary Seff, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 12-04237 | 05/28/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Waldyr Prado
Respondent Lawyers(s): Waldyr Prado
Arbitrator(s): Daniel P. Lund
Hearing Site: Miami, FL
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| 11-03923 | 05/24/2013 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Martin P. Unger
Respondent(s): Keith Steidle
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Yvonne F. Rocco, S. Charles Tabak, Jay Alan Kranis
Hearing Site: Newark, NJ
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| 12-01808 | 05/24/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Julio Almeyda
Respondent Lawyers(s): Julio Almeyda
Arbitrator(s): Monroe Mitchel
Hearing Site: Miami, FL
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