| 10-05717 | 11/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Cruz
Respondent Lawyers(s): James L. Cruz
Arbitrator(s): Ilisa J. Smukler
Hearing Site: Boca Raton, FL
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| 11-00037 | 11/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan Levine
Respondent(s): Susan Monahan
Respondent Lawyers(s): Mellany Marquez-Kelly
Arbitrator(s): Paul W. Sterman
Hearing Site: Boca Raton, FL
| | |
| 11-03259 | 11/19/2012 | Claimant(s): Robert Slovinsky
Claimant Lawyers(s): Joseph A. Vallo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Robert J. Kheel, Raymond J. Cullen, Laura Carraher
Hearing Site: New York, NY
| | Expungement |
| 12-01437 | 11/19/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Charles Pfeiffer
Respondent Lawyers(s): Charles Pfeiffer
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
| | |
| 12-01637 | 11/19/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Sean Pepe
Respondent Lawyers(s): Sean Phillip Pepe
Arbitrator(s): Stuart H. Dunn
Hearing Site: Norfolk, VA
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| 12-01647 | 11/19/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): James C. Hoover
Hearing Site: Birmingham, AL
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| 11-01902 | 11/16/2012 | Claimant(s): Yieldquest Securities
Claimant Lawyers(s): Simon Miller
Respondent(s): David Summers, Joseph Patire, Morgan Keegan & Company., William Nelson
Respondent Lawyers(s): Charles M. Dalziel, Shea O'Brien Hicks
Arbitrator(s): John C. Yeoman, Philip Michael Moran, Nicholas John Reiter
Hearing Site: Atlanta, GA
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| 11-03524 | 11/16/2012 | Claimant(s): Lucy Patriarca
Claimant Lawyers(s): Gary E. Roth
Respondent(s): Louis Parks, Peter Bulger, C. L. King & Associates.
Respondent Lawyers(s): Lisa F. Joslin
Arbitrator(s): Keely D. Parr, Ernesto V. Luzzatto, David J. Weisenfeld
Hearing Site: New York, NY
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| 11-04711 | 11/16/2012 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Steven Lyga
Respondent Lawyers(s): Steven Andrew Lyga
Arbitrator(s): David J. Anderson
Hearing Site: Los Angeles, CA
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| 12-00098 | 11/16/2012 | Claimant(s): VCG Securities
Claimant Lawyers(s): Robert H. Fasulo, General Counsel
Respondent(s): Viewpoint Securities
Respondent Lawyers(s): Seth Leyton, Managing Member
Arbitrator(s): Marc S. Piven, Alexander I. Heckman, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
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