| 12-01188 | 05/14/2013 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Yaakov Aspir
Respondent Lawyers(s): Yaakov Eliyahu Aspir
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 10-05100 | 05/10/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Joselito Balintona
Respondent Lawyers(s): Joselito Balintona
Arbitrator(s): John P. Mazzitelli
Hearing Site: Minneapolis, MN
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| 12-01023 | 05/10/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Jocelyn Sears
Respondent Lawyers(s): Katherine T. Mize
Arbitrator(s): John A. Davis, Jack Chapline Vaughan, Brian James Tagtmeier
Hearing Site: Houston, TX
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| 12-02819 | 05/10/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Anthony Garcia
Respondent Lawyers(s): Anthony J. Garcia
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
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| 12-03090 | 05/10/2013 | Claimant(s): Gunnallen Financial.
Claimant Lawyers(s): William J. Schifino
Respondent(s): Michael Guilfoyle
Respondent Lawyers(s): Michael Nicholas Guilfoyle
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 12-03471 | 05/10/2013 | Claimant(s): Mike Safaie
Claimant Lawyers(s): Mike Safaie
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert E. Jenks, Jack R. Goetz, Darrell Thomas Reed
Hearing Site: Los Angeles, CA
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| 11-00119 | 05/08/2013 | Claimant(s): Jason Roth
Claimant Lawyers(s): David Marek
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Cliff Fonstein
Arbitrator(s): Romaine L. Gardner, Stewart E. Winner, Christine Moore
Hearing Site: New York, NY
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| 11-01476 | 05/08/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan M. Christensen
Respondent(s): Michael Boylan
Respondent Lawyers(s): Michael Boylan
Arbitrator(s): Charles L. Henderson, Howard L. Sobel, Veera V. Konka
Hearing Site: New York, NY
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| 11-02850 | 05/08/2013 | Claimant(s): Hennion and Walsh.
Claimant Lawyers(s): Susan M. Guerette
Respondent(s): Jason Chambeau, Morgan Stanley
Respondent Lawyers(s): Jonathan C. Thau
Arbitrator(s): Charles A. Crocco, John A. Scudiero, John Herbert Grefe
Hearing Site: Newark, NJ
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| 11-03545 | 05/08/2013 | Claimant(s): Martin Teevan
Claimant Lawyers(s): Jeffrey Liddle
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Joanne Seltzer
Arbitrator(s): Jill I. Gross, Denise N. Seegobin, Nino Armienti
Hearing Site: New York, NY
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