| 11-03896 | 01/02/2013 | Claimant(s): Steven Stroker
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Epaminondas Eddie Manelis, Robert Lewis Brown, Franklin Sariel Schwerin
Hearing Site: Chicago, IL
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| 09-01417 | 12/28/2012 | Claimant(s): Jennifer Frame-Tunney
Claimant Lawyers(s): David B. Wechsler
Respondent(s): J.P. Morgan Securities.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Peter P. Skomorowsky, Mary Lou McGanney, Lawrence B. Schiffman
Hearing Site: New York, NY
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| 11-00235 | 12/28/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Lisa M. Bertain
Respondent(s): Steven Widtfeldt
Respondent Lawyers(s): Steven Eric Widtfeldt
Arbitrator(s): Mark I Preston, Charles A. Joplin, Earle J. Schwarz
Hearing Site: Dallas, TX
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| 12-02863 | 12/28/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Laughlin
Respondent Lawyers(s): Thomas Joseph Laughlin
Arbitrator(s): Joan M. Traub
Hearing Site: Newark, NJ
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| 11-00117 | 12/26/2012 | Claimant(s): Charles Drummond
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Blaylock Robert Van
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Fred S. Pieroni, Julian F. Santos, David Jeremy Mattana
Hearing Site: New York, NY
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| 12-00658 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Steven Sanders
Respondent Lawyers(s): J. Ryan Kirchoff
Arbitrator(s): James F. Zotter
Hearing Site: Portland, OR
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| 12-01347 | 12/26/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Megan Marmion Christensen
Respondent(s): Richard Modell
Respondent Lawyers(s): Richard David Modell
Arbitrator(s): William J. Hirsch
Hearing Site: Wilmington, DE
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| 12-01920 | 12/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Deborah G. Evans
Respondent(s): Rafael Calleja
Respondent Lawyers(s): Rafael Antonio Calleja
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
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| 12-02916 | 12/26/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Clinton Dunbar
Respondent Lawyers(s): Clinton Reece Dunbar
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
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| 11-00958 | 12/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Chad Samuel
Respondent Lawyers(s): Chad H. Samuel
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, David A. Nixon
Hearing Site: Kansas City, MO
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