| 12-01595 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Francis Bice
Respondent Lawyers(s): Francis Xavier Bice
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
| | |
| 10-02808 | 09/07/2012 | Claimant(s): GFI Securities LLC
Claimant Lawyers(s): Lauri F. Rasnick
Respondent(s): Daniel Robin
Respondent Lawyers(s): Daniel L. Robin
Arbitrator(s): Sidney D. Krasner, Sandra J. Mullings, Mary Lou McGanney
Hearing Site: New York, NY
| | |
| 11-02296 | 09/07/2012 | Claimant(s): Popular Securities.
Claimant Lawyers(s): Alan M. Wolper
Respondent(s): Francisco De Torres Highley
Respondent Lawyers(s): Harold D. Vincente-Colon
Arbitrator(s): Steven Gerard Goerke, Michael E. Pearson, Ivy Robin Ginsberg
Hearing Site: San Juan, PR
| | |
| 11-03510 | 09/07/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Christopher Obenchain
Respondent Lawyers(s): Christopher Todd Obenchain
Arbitrator(s): Ralph L. Jacobson
Hearing Site: San Francisco, CA
| | |
| 12-01187 | 09/07/2012 | Claimant(s): James Schwantner
Claimant Lawyers(s): James Phillip Schwantner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Gregg P. Garneau
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | |
| 12-01757 | 09/06/2012 | Claimant(s): The Huntington Investment Company
Claimant Lawyers(s): Kevin L. Murch
Respondent(s): Douglas Murphy
Respondent Lawyers(s): Douglas Spencer Murphy
Arbitrator(s): Thomas R. Skulina
Hearing Site: Columbus, OH
| | |
| 11-04132 | 09/05/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey Compton
Respondent(s): Clarence Anderson
Respondent Lawyers(s): Clarence Joseph Anderson
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | |
| 12-00792 | 09/05/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Thomas Staples
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Joseph C. Roberts
Hearing Site: Helena, MT
| | |
| 12-01198 | 09/04/2012 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Samuel McCormick
Respondent Lawyers(s): Samuel Troy McCormick
Arbitrator(s): Michael G. Clark
Hearing Site: Portland, OR
| | |
| 11-01186 | 08/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Luetkemeyer
Respondent Lawyers(s): David Patrick Luetkemeyer
Arbitrator(s): Roland Pera, Arthur F. Dewsberry, Murray S. Levin
Hearing Site: Kansas City, MO
| | |
