| 12-00695 | 11/01/2012 | Claimant(s): Brian Gaister
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): Glen and Wendy Tand
Respondent Lawyers(s): Mark T. Willen
Arbitrator(s): Patrick Sean Dolan
Hearing Site: Baltimore, MD
| | Expungement |
| 11-01145 | 10/31/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): Robert Rowe
Respondent Lawyers(s): Glenn S. Gitomer
Arbitrator(s): Henry G. Nothnagel, Jeffrey W. Finke, Robert William Berliner
Hearing Site: Chicago, IL
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| 11-04816 | 10/31/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Jason Varela
Respondent Lawyers(s): Jason Rogelio Varela
Arbitrator(s): Thomas B. Corey
Hearing Site: Baltimore, MD
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| 08-03388 | 10/30/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Lisa S. Fildes
Respondent(s): Dermot Durnin
Respondent Lawyers(s): Dermot Durnin
Arbitrator(s): Douglas E. DeTata, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
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| 10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Erik Littlejohn
Respondent Lawyers(s): Cynthia R. Levin Moulton
Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend
Hearing Site: Houston, TX
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| 11-03752 | 10/30/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): David H. Smith
Respondent(s): Michael Dicambio
Respondent Lawyers(s): Michael DiCambio
Arbitrator(s): Dennis A. Torres
Hearing Site: Los Angeles, CA
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| 12-01584 | 10/26/2012 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Antonio Rossi
Respondent Lawyers(s): Antonio Rossi
Arbitrator(s): Mitchel Weiss
Hearing Site: Jacksonville, FL
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| 11-03486 | 10/25/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Kenneth Klespies
Respondent Lawyers(s): John R. Kiefner
Arbitrator(s): Ronald H. Walton, Edith N. Dinneen, Marilyn K. Dirks
Hearing Site: Tampa, FL
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| 11-02550 | 10/24/2012 | Claimant(s): Cherry Westbrook, Jonathon Edens
Claimant Lawyers(s): Edmund J. Novotny
Respondent(s): State Farm Mutual Auto Insurance Company
Respondent Lawyers(s): James J. Oh
Arbitrator(s): James G. Killough, Mollie Wagner Neal, Julieta L Smith
Hearing Site: Atlanta, GA
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| 12-01090 | 10/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Michael Johnson
Respondent Lawyers(s): Michael Joseph Johnson
Arbitrator(s): Patrick R. Sughroue
Hearing Site: Detroit, MI
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