| 10-05591 | 03/14/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Ho
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Nicolas Castaneda
Respondent Lawyers(s): Alan Baskin
Arbitrator(s): Paul C. Bookidis, Paul A. Cash, Loren Scott Buell
Hearing Site: Phoenix, AZ
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| 11-03124 | 03/14/2013 | Claimant(s): James Kuczmarski
Claimant Lawyers(s): Michael G. Berger
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Patrick Shea
Arbitrator(s): Annamaria Boccia Smith, David J. Weisenfeld, Kevin P. Feerick
Hearing Site: New York, NY
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| 12-00705 | 03/14/2013 | Claimant(s): Morgan Stanley, Morgan Stanley & Co.
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Michael Highfill
Respondent Lawyers(s): Lance Arney
Arbitrator(s): Mark A. Myers, James Kee Irvin, Richard J. Clement
Hearing Site: Jackson, MS
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| 12-00781 | 03/14/2013 | Claimant(s): L. Downs
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Donald Newlin, Gordon Crenshaw, James Newton, Milton Turner, William McCall
Respondent Lawyers(s): Dennis Ahearn, Justin Joseph D'Elia, Todd A. Zuckerbrod
Arbitrator(s): Caryl S. Bernstein, Janice L. Burnham, Mark Cammann Pyle
Hearing Site: Richmond, VA
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| 12-00911 | 03/14/2013 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Donald Zienty
Respondent Lawyers(s): Donald Matthew Zienty
Arbitrator(s): Howard R. Gaines
Hearing Site: Phoenix, AZ
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| 12-02364 | 03/14/2013 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Robert Blaine
Respondent Lawyers(s): Robert D. Blaine
Arbitrator(s): Jane C. Carney
Hearing Site: Washington, DC
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| 12-03208 | 03/14/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Donald Treloar
Respondent Lawyers(s): Donald Thomas Treloar
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 12-03289 | 03/14/2013 | Claimant(s): John Parmigiani
Claimant Lawyers(s): Jeffrey S. Kob
Respondent(s): Erin Mills
Respondent Lawyers(s): Erin Mills
Arbitrator(s): John E. Ohashi, Salvatore A. Sciortino, Paul Isaac Matloff
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-02588 | 03/13/2013 | Claimant(s): Wanda Sears
Claimant Lawyers(s): Lisia L. Leon
Respondent(s): Ameriprise Financial Services., Janet Vandenbark, Richard Zue
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Stuart H. Dunn, Dawn H. DeHart, Michelle Diane Harrington
Hearing Site: Richmond, VA
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| 11-02190 | 03/13/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roach
Respondent(s): Peter Skoufis
Respondent Lawyers(s): Michael H. Schaalman
Arbitrator(s): Donald W. McKenzie
Hearing Site: Milwaukee, WI
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