| 10-05701 | 11/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): James Cave
Respondent Lawyers(s): Montgomery G. Griffin
Arbitrator(s): Judith M. Rosenberg, Nancy Hutt, William J. Petzel
Hearing Site: San Francisco, CA
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| 12-00501 | 11/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Deron Kartoon
Respondent Lawyers(s): Deron A. Kartoon
Arbitrator(s): Peter H. Daly
Hearing Site: San Francisco, CA
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| 12-01745 | 11/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jason Warner
Respondent(s): Gregg Strongin
Respondent Lawyers(s): Gregg Elliott Strongin
Arbitrator(s): William J. Hirsch
Hearing Site: Philadelphia, PA
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| 12-02087 | 11/14/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Nicole Sharp
Respondent Lawyers(s): Nicole Malec Sharp
Arbitrator(s): Robert Finder
Hearing Site: Jacksonville, FL
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| 11-00196 | 11/13/2012 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Jay Shapiro
Respondent(s): Steven Kolinsky
Respondent Lawyers(s): Chad N. Cagan
Arbitrator(s): Mitchell S. Friedman, John P. Scordo, Jonathan Christian Byron
Hearing Site: Newark, NJ
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| 12-00726 | 11/13/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Alison Janke
Respondent Lawyers(s): Alison Janke
Arbitrator(s): Carole M. Crosby
Hearing Site: Tampa, FL
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| 11-02078 | 11/09/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jerry M. Santangelo
Respondent(s): Robert McCulloch, Hunter Associates.
Respondent Lawyers(s): Lori Vinciguerra
Arbitrator(s): Edward L. Roth, Eugene M. Schloss, Lane Alan Montz
Hearing Site: Cleveland, OH
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| 12-01438 | 11/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Don Boswell
Respondent(s): Benjamin Graham
Respondent Lawyers(s): Benjamin Graham
Arbitrator(s): Karl A. Vogeler
Hearing Site: Tampa, FL
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| 12-01805 | 11/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Michael Mangrum
Respondent Lawyers(s): Michael Frederick Mangrum
Arbitrator(s): Mary Elizabeth Skelnik
Hearing Site: Dallas, TX
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| 12-02389 | 11/09/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Emma J. Purdy
Respondent(s): James Rosica
Respondent Lawyers(s): James M. Rosica
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
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