| 11-04077 | 02/25/2013 | Claimant(s): Christine Mallul, Paul Moy
Claimant Lawyers(s): Mona Lawton
Respondent(s): David A. Noyes & Company
Respondent Lawyers(s): Kevin P. Shea
Arbitrator(s): Susanne J. Hollander, Edna R. Lee, Howard T. Goffen
Hearing Site: Chicago, IL
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| 11-03419 | 02/22/2013 | Claimant(s): Newport Coast Securities.
Claimant Lawyers(s): Irving M. Einhorn
Respondent(s): Deborah Scott, Joseph Mangiapane, Kathleen McPherson, Stephen Washburn
Respondent Lawyers(s): Irving M. Einhorn, Montgomery G. Griffin
Arbitrator(s): Edward J. Costello, Keith Schulner, Michael John Florio
Hearing Site: Los Angeles, CA
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| 09-06832 | 02/21/2013 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Clay Evans
Respondent Lawyers(s): Clay H. Evans
Arbitrator(s): Michael J. Fish
Hearing Site: San Francisco, CA
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| 11-03407 | 02/21/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): John K. Wells
Respondent(s): Carlos Molina, Jorge Carreras
Respondent Lawyers(s): Jacob W. Buchdahl
Arbitrator(s): Annette B. Meyers, Sherri L. Hughes, Marianne C. Hussey
Hearing Site: New York, NY
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| 11-01601 | 02/20/2013 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): David W. Erb
Respondent(s): Michael Duprey, Bluemont Capital Advisors
Respondent Lawyers(s): Hannah Berkowitz, Jason W. Gaarder
Arbitrator(s): William H. Malloy, Stephany Adriene Watson, Randy Cepuch
Hearing Site: Washington, DC
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| 12-01764 | 02/20/2013 | Claimant(s): Annette Kitchen
Claimant Lawyers(s): Annette Kitchen
Respondent(s): Valic Financial Advisors.
Respondent Lawyers(s): David H. Denboer
Arbitrator(s): Charles D. Underwood
Hearing Site: Columbus, OH
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| 11-02828 | 02/19/2013 | Claimant(s): CCM Securities
Claimant Lawyers(s): Kate Beswick
Respondent(s): William Hanson
Respondent Lawyers(s): William Bernard Hanson
Arbitrator(s): Allan E. Johnson
Hearing Site: New York, NY
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| 09-03877 | 02/15/2013 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Neison
Respondent Lawyers(s): David C. Neison
Arbitrator(s): Larry P. Larsen
Hearing Site: Louisville, KY
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| 11-03789 | 02/15/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Matthew Francis
Respondent Lawyers(s): Matthew Hamel Francis
Arbitrator(s): Guenter S. Cohn, Duane Ted Wolfe, Joseph Patrick Kett
Hearing Site: San Diego, CA
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| 12-00701 | 02/15/2013 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clark
Respondent(s): Fred Bergdoll
Respondent Lawyers(s): Joseph C. Korsak
Arbitrator(s): Margaret Mary Crumley, Anthony V. La Manna, Robert Alan Mayer
Hearing Site: Philadelphia, PA
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