| 12-00345 | 09/25/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bryan Hall
Respondent Lawyers(s): Bryan McKinley Hall
Arbitrator(s): Jerome Nelson
Hearing Site: Baltimore, MD
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| 12-00419 | 09/25/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan S. Smith
Respondent(s): George Anastos
Respondent Lawyers(s): George J. Anastos
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
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| 12-01543 | 09/25/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Pete S. Michaels
Respondent(s): Saul Montes-Bradley
Respondent Lawyers(s): Saul M. Montes-Bradley
Arbitrator(s): Steven R. Reininger
Hearing Site: Miami, FL
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| 10-04339 | 09/21/2012 | Claimant(s): Jacquelyn Kirkland
Claimant Lawyers(s): Leslie Wybiral
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): LLoyd B. Chinn
Arbitrator(s): Clarence Smith, Patricia A. DeWitt, James I. Berliner
Hearing Site: New York, NY
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| 11-03937 | 09/21/2012 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Brian Wilder, Morgan Stanley
Respondent Lawyers(s): Michael L. Chinitz
Arbitrator(s): John B. Kinsellagh, Stephen M. Acerra, Paul A. Auerbach
Hearing Site: Boston, MA
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| 12-01545 | 09/21/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): David Allen
Respondent Lawyers(s): David L. Allen
Arbitrator(s): Peter D. Brennan
Hearing Site: San Diego, CA
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| 10-02408 | 09/20/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): John Mazza
Respondent Lawyers(s): John Mazza
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
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| 11-01720 | 09/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Derek Sanders
Respondent Lawyers(s): Eric D. Lansverk
Arbitrator(s): Jonathan W. Kaiser
Hearing Site: Seattle, WA
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| 11-02235 | 09/20/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jamie S. Schwedler
Respondent(s): Gregory Davis
Respondent Lawyers(s): Gregory Wayne Davis
Arbitrator(s): Alan L. Berger
Hearing Site: Charlotte, NC
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| 11-02382 | 09/20/2012 | Claimant(s): Ephraim Finkelstein
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Joanne Seltzer
Arbitrator(s): Michael J. McAllister, Richard W. Cutler, Mitchell Proux
Hearing Site: New York, NY
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