| 12-02806 | 12/21/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Kyle Horton
Respondent Lawyers(s): Kyle Horton
Arbitrator(s): Karla Y. Vogel
Hearing Site: Atlanta, GA
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| 12-02010 | 12/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Christopher Hudson
Respondent Lawyers(s): Christopher G. Hudson
Arbitrator(s): Jack A. Helms
Hearing Site: Jacksonville, FL
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| 12-02192 | 12/20/2012 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Todd Fritz
Respondent Lawyers(s): Todd Allen Fritz
Arbitrator(s): Katherine M. Harmeyer
Hearing Site: Phoenix, AZ
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| 12-02229 | 12/20/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Eric Savell
Respondent Lawyers(s): Oriet Cohen-Supple
Arbitrator(s): Linda M. McCoy, Vivian L. Kral, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
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| 10-05182 | 12/19/2012 | Claimant(s): Elizabeth Keen
Claimant Lawyers(s): Joseph R. Soraghan
Respondent(s): LPL Financial LLC, Transamerica Financial Advisors
Respondent Lawyers(s): Amanda C. Hawley, James F. Koehler
Arbitrator(s): Keith E. Mattern, John R. Loss, Donald W. Moriarty
Hearing Site: St. Louis, MO
| | Expungement |
| 11-03330 | 12/19/2012 | Claimant(s): Joseph Dougherty
Claimant Lawyers(s): Michael Hill
Respondent(s): FS2 Capital Partners
Respondent Lawyers(s): Glenn A. Weiner
Arbitrator(s): Robert H. Nelson, Diana A. Weiner, John Winslow Griesser
Hearing Site: Orlando, FL
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| 12-00799 | 12/19/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Walton
Respondent Lawyers(s): Thomas Xavier Walton
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
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| 12-01483 | 12/19/2012 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Audette Paul Morales
Respondent(s): Big Swell f/k/a Tovar., Nathan Phillip Friedlander SEP-IRA, Nathan & Joan Friedlander Joint Tenant, Harris Friedland Trust dd 7/25/1989
Respondent Lawyers(s): Thomas F. Shine
Arbitrator(s): C. Sumpter Logan, David Freeman
Hearing Site: Birmingham, AL
| | Expungement |
| 12-01643 | 12/19/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Geoffrey Ortiz
Respondent Lawyers(s): Paul N. Phillips
Arbitrator(s): Annette Gres Shepherd
Hearing Site: Los Angeles, CA
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| 12-01849 | 12/19/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Eric M. Chial, Jonathan Berg, Esq.
Respondent(s): David Manno
Respondent Lawyers(s): David T. Manno
Arbitrator(s): John P. Cullem
Hearing Site: Tampa, FL
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