| 12-03432 | 02/07/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Glenn Berger
Respondent(s): David Price
Respondent Lawyers(s): David Craig Price
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
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| 11-02357 | 02/06/2013 | Claimant(s): Christopher Voccola
Claimant Lawyers(s): Timothy Feil
Respondent(s): Pauline Maitoglou
Respondent Lawyers(s): Kevin J. Begley
Arbitrator(s): Abraham Harry Bunis, Brian S. Hamburger, Michael A. Ruderman
Hearing Site: Newark, NJ
| | Expungement |
| 12-02535 | 02/06/2013 | Claimant(s): Morgan Stanley, Morgan Stanely Smith Barney FA Notes Hol
Claimant Lawyers(s): David Lee
Respondent(s): Donald Rasweiler
Respondent Lawyers(s): Douglas Stone
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-03123 | 02/06/2013 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Patrick J. Howley
Respondent(s): Brian Allen
Respondent Lawyers(s): Brian Allen
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
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| 11-04632 | 02/05/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rodger Thomas
Respondent Lawyers(s): Rodger E. Thomas
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
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| 12-00056 | 02/05/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Jeffrey Wylde
Respondent Lawyers(s): Jeffrey Russell Wylde
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
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| 12-00413 | 02/05/2013 | Claimant(s): SII Investments.
Claimant Lawyers(s): Andrew Harris
Respondent(s): Kendall Lovett
Respondent Lawyers(s): Kendall Lovett
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 12-01451 | 02/04/2013 | Claimant(s): J.D. Nicholas & Associates.
Claimant Lawyers(s): Ian Frimet
Respondent(s): James Webb, Larry Yager, Michael Lovett, Paul Nardella, Cape Securities Inc.
Respondent Lawyers(s): John A. Fortuna, Ron Amato
Arbitrator(s): Michael J. McAllister, Marilyn J. Salzman, Ernesto V. Luzzatto
Hearing Site: New York, NY
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| 12-02321 | 02/04/2013 | Claimant(s): U.S. Bancorp Investments.
Claimant Lawyers(s): Rena Andoh
Respondent(s): Shayne Layton
Respondent Lawyers(s): Shayne Christopher Layton
Arbitrator(s): Reed H. Bement
Hearing Site: San Francisco, CA
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| 12-00192 | 02/01/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Allen Chaves
Respondent Lawyers(s): Allen Wayne Chaves
Arbitrator(s): Douglas Randall Blohm
Hearing Site: Minneapolis, MN
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