| 12-00861 | 01/22/2013 | Claimant(s): Wells Fargo Securities
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Robert Lavanco
Respondent Lawyers(s): Robert John Lavanco
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 12-02716 | 01/22/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Thompson
Respondent Lawyers(s): Robert Sidney Thompson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 12-02566 | 01/20/2013 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Matthew Buck
Respondent Lawyers(s): Matthew John Buck
Arbitrator(s): Gary L. Grolle
Hearing Site: Milwaukee, WI
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| 11-01882 | 01/18/2013 | Claimant(s): Thomas Burger, Hamilton Financial. dba The Hamilto
Claimant Lawyers(s): Michael Unger
Respondent(s): Laura Peeke
Respondent Lawyers(s): Michael G. Donovan
Arbitrator(s): James A. Wills, Zenon Charles Tencza, Michael Jay Rich
Hearing Site: Boston, MA
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| 11-03222 | 01/18/2013 | Claimant(s): John Wassenaar
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): CF Global Trading
Respondent Lawyers(s): Lainie E. Cohen
Arbitrator(s): Kathleen Hoey Gorr, Katherine Levitan, Francis Xavior Daumen
Hearing Site: Buffalo, NY
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| 11-03827 | 01/18/2013 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Donald Novell
Respondent Lawyers(s): Donald F. Novell
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
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| 12-02809 | 01/18/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 11-01723 | 01/17/2013 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Charles Goodman
Respondent Lawyers(s): Mark L. Ish
Arbitrator(s): Jonathan H. Larson, Charles E. Riggs, J. Robert Brown
Hearing Site: Albuquerque, NM
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| 11-03606 | 01/17/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Brian R. Mills
Respondent(s): John Hackbarth
Respondent Lawyers(s): John Melton Hackbarth
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
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| 12-01458 | 01/17/2013 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Rebecca R. Cusick
Respondent(s): Heidi Mcmillian
Respondent Lawyers(s): Heidi Koepenick Mcmillian
Arbitrator(s): David Paul Clark
Hearing Site: Washington, DC
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