| 12-03685 | 05/22/2013 | Claimant(s): Robert Ceresa
Claimant Lawyers(s): Aaron Taishoff
Respondent(s): Blaylock Robert Van
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Pamela H. Roderick
Hearing Site: New York, NY
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| 10-02178 | 05/21/2013 | Claimant(s): John Freund
Claimant Lawyers(s): Daniel S. Tarlow
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc., Morgan Stanley Smith Barney Holdings, LL
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): B. J. Krintzman, Norman Foxman, John J. Mager
Hearing Site: Boston, MA
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| 11-02747 | 05/21/2013 | Claimant(s): Timothy Gautney, Aura Asset Management., Aura Financial Services.
Claimant Lawyers(s): John G Dana
Respondent(s): James Webb, Cape Securities Inc.
Respondent Lawyers(s): Judy A. Newcomb, Ronald M. Amato
Arbitrator(s): Lita S Menkin, Cherie J. Jolly, Charles M. Thompson
Hearing Site: Birmingham, AL
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| 11-03985 | 05/21/2013 | Claimant(s): Robert Ceresa
Claimant Lawyers(s): David S. Richan
Respondent(s): Calvin Grigsby, Jerry Liang, Grigsby & Associates.
Respondent Lawyers(s): Regina L. Darby
Arbitrator(s): Anne Wickham Boyle, Sam Antar, Jerome M Shafer
Hearing Site: New York, NY
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| 11-04310 | 05/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Thomas Moore
Respondent Lawyers(s): Thomas Chapley Moore
Arbitrator(s): Stephen P. Hoffman, Charles Sydnor Thompson, David M. Finkel
Hearing Site: Charlotte, NC
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| 12-01774 | 05/21/2013 | Claimant(s): Gregory Headrick
Claimant Lawyers(s): Todd E. Schwartz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Frederic E. Dorkin
Hearing Site: Seattle, WA
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| 12-01804 | 05/21/2013 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Joseph Bardzilowski
Respondent Lawyers(s): Joseph George Bardzilowski
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
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| 12-02264 | 05/20/2013 | Claimant(s): Lee Tripodi
Claimant Lawyers(s): Robert L. Hill
Respondent(s): Torrey Pines Securities.
Respondent Lawyers(s): Michael W. Jacobs
Arbitrator(s): Harvey C. Flodin, Brett W. Everhart, Nancy J. Spieczny
Hearing Site: San Diego, CA
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| 12-02996 | 05/20/2013 | Claimant(s): Stephen Epstein
Claimant Lawyers(s): Stephen S. Epstein
Respondent(s): Brokersxpress LLC
Respondent Lawyers(s): Kevin H. Lewis
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
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| 12-03999 | 05/20/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Evaldo Guillama
Respondent Lawyers(s): Carlos H. Gamez
Arbitrator(s): Richard S. Zaifert, Kimberly A. Gilmour
Hearing Site: Miami, FL
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