| 12-02208 | 02/12/2013 | Claimant(s): Faisal Khan, Georgios Michos
Claimant Lawyers(s): Jack Delaney
Respondent(s): Philip Potter, Ralph Daiuto, Dimension Brokerage, Dimension Securities
Respondent Lawyers(s): Timothy A. Valliere
Arbitrator(s): Richard W. Vallario, Ira S. Cure, Steven Gary Leventhal
Hearing Site: New York, NY
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| 10-05737 | 02/11/2013 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Brian Coughlan
Respondent Lawyers(s): Patricia L. Moore
Arbitrator(s): Joan Maxine Secofsky
Hearing Site: New York, NY
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| 11-02124 | 02/11/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerard T. Rohrer
Respondent(s): Alexander Potenza
Respondent Lawyers(s): Alexander Potenza
Arbitrator(s): Richard W. Thornburg
Hearing Site: Jacksonville, FL
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| 11-03904 | 02/11/2013 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William M. Schmitt
Respondent(s): William Lane
Respondent Lawyers(s): Kim Mark Minix
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
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| 12-03457 | 02/11/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Gary Ladrido
Respondent Lawyers(s): Gary Aquino Ladrido
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 12-00299 | 02/08/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Fernando Castillo
Respondent Lawyers(s): Fernando Castillo
Arbitrator(s): Oren L. Connaway
Hearing Site: Houston, TX
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| 12-00330 | 02/08/2013 | Claimant(s): David Parker
Claimant Lawyers(s): Gerald F. Smith
Respondent(s): First Citizens Securities Corporation
Respondent Lawyers(s): David W. Erb
Arbitrator(s): Bernadette F. Rasmussen, William F. Julavits, John E. Allison
Hearing Site: Columbia, SC
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| 11-00929 | 02/07/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Willard Phillips
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Arthur L. Sirkin, John Morris Hudson
Hearing Site: Jacksonville, FL
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| 12-00769 | 02/07/2013 | Claimant(s): Muhammad Hossain
Claimant Lawyers(s): Muhammad M. Hossain
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Rachel M. Manne
Arbitrator(s): David I. Goldblatt, Harry T. Walters, Martin H. Jaffe
Hearing Site: New York, NY
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| 12-01305 | 02/07/2013 | Claimant(s): Brett Wilson, Brian Smoot, Clifford Cashman, Darrin Santos, David Gatlin, Dean Evans, Ernest Hathaway, Gary Barker, Greg Coenen, Howard Jeppson, John Plaza, Kevin Korhorn, Lisa Dickholtz, Marty Mitchell, Michael Clark, Michele Young, Robert Greenamyer, Scotty Schoettlin, Stephen Fortner, Steven Fenyves, et al
Claimant Lawyers(s): Bryan M. Ward
Respondent(s): Securities America.
Respondent Lawyers(s): Elaine M. Rice
Arbitrator(s): Frank D. Connett
Hearing Site: Omaha, NE
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