| 12-01407 | 04/19/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Jesse B. Simpson
Respondent(s): Timothy Moran, Private Client
Respondent Lawyers(s): Corporate Officer, Timothy Damien Moran
Arbitrator(s): Eugene R. Nielson, Brian L Evans, Merton E. Marks
Hearing Site: Phoenix, AZ
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| 12-02506 | 04/19/2013 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Matthew Burcar
Respondent Lawyers(s): Matthew Scott Burcar
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
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| 12-03501 | 04/19/2013 | Claimant(s): Heather Molin
Claimant Lawyers(s): Edward Zusman
Respondent(s): Patrick Collins
Respondent Lawyers(s): Salvador M. Hernandez
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04869 | 04/18/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Charles A. Hammaker
Respondent(s): Stifel, Nicolaus & Co.., Gary Endres
Respondent Lawyers(s): Andrew Shapren, Joseph A.. Dougherty
Arbitrator(s): Nancy J. Spieczny, Deanna Margaret Veitia, Brian William Heublein
Hearing Site: San Diego, CA
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| 12-03706 | 04/18/2013 | Claimant(s): A. R. Schmeidler & Co..
Claimant Lawyers(s): Timothy Coon
Respondent(s): UBS Financial Services Inc., Michael Kahn
Respondent Lawyers(s): James Komie, Louis Lagalante
Arbitrator(s): Sandra J. Mullings, Cynthia A. DiMarco, Mark J. Happe
Hearing Site: New York, NY
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| 10-04622 | 04/17/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jason Taylor
Respondent Lawyers(s): Anthony Paduano
Arbitrator(s): Jeff Abrams, Martha Z. Ralstin, David J. Nowacki
Hearing Site: Dallas, TX
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| 11-04216 | 04/17/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Christopher Hickman
Respondent Lawyers(s): Mark Hanna
Arbitrator(s): David P. Slater
Hearing Site: Boca Raton, FL
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| 12-02803 | 04/17/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Laura J. Starr
Respondent(s): Jeffery Iseler
Respondent Lawyers(s): Bruce W. Barnes
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
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| 11-00527 | 04/16/2013 | Claimant(s): James Ortenzio
Claimant Lawyers(s): John D. Singer
Respondent(s): Metlife Securities Inc.
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): Dwight Wassong, Linda J. Baer, David Morris Weiss
Hearing Site: Newark, NJ
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| 12-00511 | 04/16/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Gerry Giurato
Respondent(s): Paul Renard
Respondent Lawyers(s): Steve Ferris
Arbitrator(s): G. Gale Roberson, Donald V. Anderson, Donald E. Sorensen
Hearing Site: Milwaukee, WI
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