| 12-03398 | 04/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Dylan Grayson
Respondent Lawyers(s): Dylan Patrick Grayson
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
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| 10-01433 | 04/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Kenneth Meyers
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Mark S. Priver
Hearing Site: San Francisco, CA
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| 11-00963 | 04/04/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Marco Rivera
Respondent Lawyers(s): Christian Krankemann
Arbitrator(s): Frank R Weaver
Hearing Site: San Francisco, CA
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| 11-02752 | 04/04/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): James Kirwan, Joanne Meninger
Respondent Lawyers(s): Paul A. Lieberman
Arbitrator(s): Jarrott T. Miller, Barbara M. Anscher, Philip Aaron Tymon
Hearing Site: San Francisco, CA
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| 12-00341 | 04/03/2013 | Claimant(s): Daniel Dvorznak, James Dolan, Nicholas Tsikitas
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): Anthony Salamone
Respondent Lawyers(s): Anthony Patrick Salamone
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
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| 12-01128 | 04/03/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Rachael Carp
Respondent(s): Amy Notermann
Respondent Lawyers(s): Amy Notermann
Arbitrator(s): Douglas J. Nesbit
Hearing Site: Minneapolis, MN
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| 12-02245 | 04/03/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Brown
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Joseph W. Cheek, Katherine H. O'Neil, John McGown
Hearing Site: Boise, ID
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| 12-02247 | 04/03/2013 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Burton
Respondent Lawyers(s): Lowell N. Hawkes
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Boise, ID
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| 11-02921 | 04/01/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Nicole Eppley
Respondent Lawyers(s): Nicole S. Eppley
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 12-00108 | 04/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): William Braude
Respondent Lawyers(s): William Lincoln Braude
Arbitrator(s): Jack A. Helms
Hearing Site: Jacksonville, FL
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