| 11-04022 | 02/14/2013 | Claimant(s): Sunbelt Securities.
Claimant Lawyers(s): Robert M. Corn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Glen Silverstein
Arbitrator(s): Timothy L. Andrews, John Michael Watson, Ross D. Friend
Hearing Site: Houston, TX
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| 11-04171 | 02/14/2013 | Claimant(s): Victoria Ross
Claimant Lawyers(s): Victoria W. Ross
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Susan E. Sheely
Arbitrator(s): Jerome F. Crotty, Susan S. Hickel, Susanne J. Hollander
Hearing Site: Chicago, IL
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| 10-01441 | 02/13/2013 | Claimant(s): Joseph Vaccaro
Claimant Lawyers(s): Ruthann G. Niosi
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Sam Antar, Arthur H. Sobel, Lester Scott Garfinkel
Hearing Site: New York, NY
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| 10-04927 | 02/13/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Daniel Kole
Respondent Lawyers(s): Kimberly A. Capadona
Arbitrator(s): James M. Baumann, Jacob Aschkenasy, Leo J. Karwejna
Hearing Site: Newark, NJ
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| 12-03103 | 02/13/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Kevin Cloutier
Respondent(s): Mark Green
Respondent Lawyers(s): Robert J. Benbenek
Arbitrator(s): Monette E. Draper
Hearing Site: St. Louis, MO
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| 10-01766 | 02/12/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Richard Kasparian
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): David J. Weisenfeld
Hearing Site: New York, NY
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| 11-00581 | 02/12/2013 | Claimant(s): Thomas Lynch
Claimant Lawyers(s): Carmelyn Malalis
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Charles P. Axelrod, John Daly, Adam M. Kauff
Hearing Site: New York, NY
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| 11-04679 | 02/12/2013 | Claimant(s): Tullett Prebon Americas Corp., Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): James Pryor
Respondent Lawyers(s): Michael Mui
Arbitrator(s): Martin Hunger, Alfred H. Kingon, Paul C. Tang
Hearing Site: New York, NY
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| 12-00851 | 02/12/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Jonathan Stoler
Respondent(s): Matthew Kofron
Respondent Lawyers(s): Matthew Mark Kofron
Arbitrator(s): W. Michael Kelley
Hearing Site: Phoenix, AZ
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| 12-02121 | 02/12/2013 | Claimant(s): Michael DiDato
Claimant Lawyers(s): Michael R. DiDato
Respondent(s): Andrew Garrett Inc.
Respondent Lawyers(s): Revan R. Schwartz
Arbitrator(s): Sanford S. Finder, Charles Stanley Lomax, Charles L.A. Terreni
Hearing Site: Columbia, SC
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