| 11-01412 | 09/12/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): George Messier
Respondent Lawyers(s): Mark S. Shipman
Arbitrator(s): Brian J. Dunn
Hearing Site: Hartford, CT
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| 12-01155 | 09/12/2012 | Claimant(s): David Chilcoat
Claimant Lawyers(s): Mark G. Vaughan
Respondent(s): Donald Jackson
Respondent Lawyers(s): Donald Jackson
Arbitrator(s): Harry J Saginaw, George F. Longino, Theodore Mack
Hearing Site: Dallas, TX
| | Expungement |
| 12-01395 | 09/12/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Renan I Sugarman
Respondent(s): Timothy Sennott
Respondent Lawyers(s): Timothy Madden Sennott
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
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| 10-01677 | 09/11/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey Zachter
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Robert J. Scafuri
Hearing Site: Cleveland, OH
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| 10-04080 | 09/11/2012 | Claimant(s): Lehman Brothers Holdings Inc. as assigne
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Robert Reilly
Respondent Lawyers(s): Daniel J. Dwyer
Arbitrator(s): Robert Pincus, Barbara-Ann Boehler, Steven S. Manos
Hearing Site: Boston, MA
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| 12-01518 | 09/11/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jennifer R. Seltenrich
Respondent(s): Stephen Collins
Respondent Lawyers(s): Stephen Patrick Collins
Arbitrator(s): Franklin P. Chapman
Hearing Site: New York, NY
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| 11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Sean Rhodes
Respondent Lawyers(s): Sean Collin Rhodes
Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy
Hearing Site: Chicago, IL
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| 11-02521 | 09/10/2012 | Claimant(s): Lonnie Evans
Claimant Lawyers(s): David E. Dunham
Respondent(s): Raymond, James & Associates., Richard Funk, Teresa Finney
Respondent Lawyers(s): Scott D. Ellis
Arbitrator(s): Gary D. Danna, Susan Meek, Jeffrey R. Jury
Hearing Site: Houston, TX
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| 11-02696 | 09/10/2012 | Claimant(s): Harris Fried
Claimant Lawyers(s): Harris S. Fried
Respondent(s): Edward Grimpe, James Chahine, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Kimberly A. Gilmour, Dennis J. Levin, Theodore Israel Herold
Hearing Site: Boca Raton, FL
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| 12-01434 | 09/10/2012 | Claimant(s): David Gershon
Claimant Lawyers(s): Tammy Marzigliano
Respondent(s): M.M. Dillon & Co. LLC
Respondent Lawyers(s): Nancy E. Delaney
Arbitrator(s): Paul Weinberg
Hearing Site: New York, NY
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