| 12-01912 | 11/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Mark Stull
Respondent Lawyers(s): Mark A. Stull
Arbitrator(s): Stephany Adriene Watson
Hearing Site: Washington, DC
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| 08-05032 | 11/29/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Thomas Sullivan
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Mary H. Evans, Peter Anthony Sigal
Hearing Site: San Francisco, CA
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| 11-03356 | 11/29/2012 | Claimant(s): Kenneth Barrett
Claimant Lawyers(s): Mark J. Astarita
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley Market Products Inc.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Daniel B. Berkson, David I. Goldblatt, Brian Lawrence Berlandi
Hearing Site: New York, NY
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| 11-03970 | 11/29/2012 | Claimant(s): Jian Yuan
Claimant Lawyers(s): Damon E. Dunn
Respondent(s): Daniel Tierney, Stephen Schuler, Blink Trading, GETCO Europe Limited, GETCO Holding Company, GETCO, Getco Securities, Lowtech Solutions, OCTEG
Respondent Lawyers(s): Bill Dugan
Arbitrator(s): Joseph D. Vu, Scott E. Rexroad, Jonah Orlofsky
Hearing Site: Chicago, IL
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| 12-00827 | 11/29/2012 | Claimant(s): Carson Graves
Claimant Lawyers(s): Carson Graves
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s): Bill M. Lamoreaux, Robert E. Treadaway, Mayur Harshad Amin
Hearing Site: Dallas, TX
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| 12-00936 | 11/29/2012 | Claimant(s): Fariba Madison
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Rita Kennann
Respondent Lawyers(s): Arline P. Vezina
Arbitrator(s): A. Joel Klein, Joyce L. Hurley, Karen A. Lockwood
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05484 | 11/28/2012 | Claimant(s): Morgan Stanley, Morgan Stanley & Co.
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Brittney Seeliger
Respondent Lawyers(s): Brittney Rae Seeliger
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
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| 11-01900 | 11/28/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Kapur
Respondent Lawyers(s): Paul K. Kapur
Arbitrator(s): Jack A. Marshall, Kelly M. Lonergan, John J. Kenny
Hearing Site: Boston, MA
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| 11-03359 | 11/28/2012 | Claimant(s): VSR Financial Services.
Claimant Lawyers(s): Scott N Sherman
Respondent(s): Dave Duley
Respondent Lawyers(s): Brian N. Smiley
Arbitrator(s): Daniel E. Gulden, Cheryl A. Hooks, John F. O'Neill
Hearing Site: Atlanta, GA
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| 11-03951 | 11/28/2012 | Claimant(s): Steven Schneiderman
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): Burton Street, RBC Capital Markets LLC
Respondent Lawyers(s): Steven M. Phillips
Arbitrator(s): Donald W. McKenzie, Harry Edward Resis, Michael Cotter Greenfield
Hearing Site: Chicago, IL
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