| 12-00288 | 05/01/2013 | Claimant(s): Robert Fenyk
Claimant Lawyers(s): Norman E. Watts
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Ronald L. Cheney, Susan E. Maloney, Morton S. Bunis
Hearing Site: Boston, MA
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| 12-00752 | 05/01/2013 | Claimant(s): Michael Freeman
Claimant Lawyers(s): Michael Edgar Freeman
Respondent(s): National Securities Corporation
Respondent Lawyers(s): Michael P. Gilmore
Arbitrator(s): Philip Levine, David Marcus, Peter L. Michaelson
Hearing Site: Newark, NJ
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| 10-04592 | 04/29/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Jeffrey Wescott
Respondent Lawyers(s): Darrell J. Graham
Arbitrator(s): Leon Fox, Thomas H. Stone, David M. Zimberoff
Hearing Site: Chicago, IL
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| 10-04088 | 04/26/2013 | Claimant(s): Lehman Brothers Holdings Inc., as assign
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Mary Kenworthy
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): John N. Polakas, Michelle Jacobowitz Gallagher
Hearing Site: New York, NY
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| 11-03406 | 04/26/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Robert Quinn
Respondent Lawyers(s): Peter F. Carr
Arbitrator(s): Brian J. Dunn
Hearing Site: Boston, MA
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| 11-04305 | 04/26/2013 | Claimant(s): Ninos Andrews
Claimant Lawyers(s): Jonathan M Cyrluk
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Rachel B. Cowen
Arbitrator(s): Jerome F. Crotty, Jonathan Gorman Cook, Michael S. Jordan
Hearing Site: Chicago, IL
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| 12-01324 | 04/26/2013 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Richard Westerman
Respondent Lawyers(s): Richard Herbert Westerman
Arbitrator(s): Bonny Kathleen Riggs, Robert M. Stein, Jerome O. Cohen
Hearing Site: Seattle, WA
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| 12-03590 | 04/26/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Dianne Baquet Smith
Respondent(s): Victor Valdez
Respondent Lawyers(s): Victor Valdez
Arbitrator(s): Michael D. Harrison
Hearing Site: Los Angeles, CA
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| 08-02072 | 04/25/2013 | Claimant(s): Warner Group.
Claimant Lawyers(s): Barry K. Lake
Respondent(s): Citigroup Global Markets., John Spies
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jeffrey M. Bain, Donald F. Shiffermiller, Albert Bernard Kerkhove
Hearing Site: Omaha, NE
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| 11-00908 | 04/25/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Douglas Farr
Respondent Lawyers(s): Frank C. "Kim" Breese
Arbitrator(s): P. Drake Mann, Arthur W. Pigott, Eric Spencer Buchanan
Hearing Site: Jackson, MS
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