| 12-01650 | 10/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley FA Notes Holdings LLC
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Eric Johnson
Respondent Lawyers(s): Eric David Johnson
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 11-00595 | 10/05/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill Clarke
Respondent(s): Hilary O'Malley, Kevin O'Malley
Respondent Lawyers(s): Hilary Elizabeth O'Malley, Kevin James O'Malley
Arbitrator(s): Dallas Whitney Coffman, Tom L. Peterson, William I. Carmen
Hearing Site: Boston, MA
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| 11-01973 | 10/05/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): Russell Eaton
Respondent Lawyers(s): Travis Eaton
Arbitrator(s): Daniel J. Pagnano
Hearing Site: Houston, TX
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| 11-02224 | 10/05/2012 | Claimant(s): Robert Bennie
Claimant Lawyers(s): Christopher B. Trowbridge
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): Alison M. Gutierrez
Arbitrator(s): Larry R. Trussell, Steven C. Despotovich, James E. Michaels
Hearing Site: Omaha, NE
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| 12-00014 | 10/05/2012 | Claimant(s): Derek Cherne, Randall Green
Claimant Lawyers(s): Tracey Salmon-Smith
Respondent(s): David Domaas, John Smith, Brook West Profit Sharing Plan
Respondent Lawyers(s): Brook West Profit Sharing Plan, David Domaas, John Smith
Arbitrator(s): Lawrence J. Welte, Andrew R. Dick, Alain Frecon
Hearing Site: Minneapolis, MN
| | Expungement |
| 12-01478 | 10/05/2012 | Claimant(s): David Simms
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Avalon Partners.
Respondent Lawyers(s): Concetto Kevin Barone
Arbitrator(s): Jeffrey G. Sommers
Hearing Site: New York, NY
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| 12-01596 | 10/05/2012 | Claimant(s): Euna Shim
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): SG Americas Securities
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
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| 12-00391 | 10/04/2012 | Claimant(s): Karen Purdie
Claimant Lawyers(s): Karen E Purdie
Respondent(s): Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Annette B. Meyers, David S. Paul, Albert L. Akerman
Hearing Site: New York, NY
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| 11-02442 | 10/02/2012 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Angelina Chew
Respondent(s): Jon Javellana, Kenneth Ro, Barclays Capital Inc.
Respondent Lawyers(s): Christopher A. Stecher, Naki Irvin
Arbitrator(s): Robert A. Lombardi, Eric Gad Forster, Ara Kassabian
Hearing Site: Los Angeles, CA
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| 11-02934 | 10/01/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Matthew Tarrance
Respondent Lawyers(s): Matthew A Tarrance
Arbitrator(s): Noel K. Evans
Hearing Site: Tampa, FL
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