| 09-01619 | 03/05/2013 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Robert Hoffman
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Glenn Lloyd Nobel, Fred M. Fleisher, Peter L. Marco
Hearing Site: Philadelphia, PA
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| 11-02066 | 03/05/2013 | Claimant(s): Brian Lureen
Claimant Lawyers(s): Ian J. Frimet
Respondent(s): Eplanning Securities.
Respondent Lawyers(s): Timothy A. Menezes
Arbitrator(s): Robert F. Sanville
Hearing Site: Philadelphia, PA
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| 12-01726 | 03/05/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Charles Oakes
Respondent Lawyers(s): Kent H. Patterson
Arbitrator(s): Paul J. Greco
Hearing Site: Philadelphia, PA
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| 10-04635 | 03/04/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Victor A. Machcinski
Respondent(s): Paul Tanner
Respondent Lawyers(s): Jeffrey R. Sonn
Arbitrator(s): Gary W. Pollack, Mark I. Roth, Nikola Bjelajac
Hearing Site: Ft. Lauderdale, FL
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| 12-00969 | 03/04/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Laurie A. Perez
Respondent(s): Michael Jordan
Respondent Lawyers(s): Michael Gene Jordan
Arbitrator(s): Monroe Mitchel
Hearing Site: Miami, FL
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| 12-02615 | 03/04/2013 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Seth A. Miller
Respondent(s): Christopher Pierce
Respondent Lawyers(s): Christopher Edward Pierce
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
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| 11-01615 | 03/01/2013 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): William Schmitt
Respondent(s): Marc Prda
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): R. Theodore Moock, William E. Hartsfield, Melinda G. Jayson
Hearing Site: Dallas, TX
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| 11-02705 | 03/01/2013 | Claimant(s): Gregory Morris
Claimant Lawyers(s): Robert Kraus
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Martin Jay Siegel, Nancy S. Gerber, Barry Steven Port
Hearing Site: New York, NY
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| 11-04091 | 03/01/2013 | Claimant(s): Brian Redican, Bryan Glass, Jordon Havens
Claimant Lawyers(s): Faryan Andrew Afifi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): David Richan
Arbitrator(s): Harold I. Geringer, Adam M. Kauff
Hearing Site: New York, NY
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| 11-03021 | 02/28/2013 | Claimant(s): Kenneth Motz
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): Martin Hunger, James S. Hazard, Richard Bemporad
Hearing Site: New York, NY
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