| 12-03681 | 05/06/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Keara K. Roethke
Respondent(s): Craig Buhr
Respondent Lawyers(s): Craig Joseph Buhr
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | |
| 11-04652 | 05/03/2013 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Paul Jacobs
Respondent Lawyers(s): Paul Joseph Jacobs
Arbitrator(s): Christine L. Stetson
Hearing Site: Houston, TX
| | |
| 12-02395 | 05/03/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Kenneth Burgess
Respondent Lawyers(s): Kenneth Charles Burgess
Arbitrator(s): Michael H. McConihe
Hearing Site: Washington, DC
| | |
| 12-03509 | 05/03/2013 | Claimant(s): James Nagengast, Kevin Miller
Claimant Lawyers(s): Elaine M. Rice
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Thomas J. Pleiss, Verne R. Gray, John R. Loss
Hearing Site: Omaha, NE
| | |
| 12-03633 | 05/03/2013 | Claimant(s): Vicente Castillo
Claimant Lawyers(s): Roberto C. Quiones-Rivera
Respondent(s): UBS Financial Services Inc., UBS Financial Services Incorporated,PR
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Gerald Silverman, Stuart K. Furman, Robert Charles Stamm
Hearing Site: San Juan, PR
| | |
| 11-04480 | 05/02/2013 | Claimant(s): J.P. Morgan Securities
Claimant Lawyers(s): Gene L. Small
Respondent(s): Kasemsante Boonswang
Respondent Lawyers(s): Kasemsante Guevara Boonswang
Arbitrator(s): Madelyn A. Levy
Hearing Site: New York, NY
| | |
| 12-00069 | 05/02/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Jiraeyer Kharatian
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
| | |
| 12-02649 | 05/02/2013 | Claimant(s): Sean Fetterman
Claimant Lawyers(s): Jonathan C Schwartz
Respondent(s): Karin Fowler
Respondent Lawyers(s): Bradford M. Gucciardo
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | Expungement |
| 12-03991 | 05/02/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Gregory O. Eisenreich
Respondent(s): Fariba Madison
Respondent Lawyers(s): Greg Sherwin
Arbitrator(s): Norman Cousins Sasamori, Robert F. Saint-Aubin, Richard Lee Fausett
Hearing Site: Los Angeles, CA
| | |
| 10-05097 | 05/01/2013 | Claimant(s): Peter Prescott
Claimant Lawyers(s): David Harrison
Respondent(s): Financial Network Investment Corporation, The Leader Board
Respondent Lawyers(s): Robert L. Hill
Arbitrator(s): Alan Stamm, James A. Sigler, Walter R. Whitman
Hearing Site: Los Angeles, CA
| | |
