| 11-03142 | 08/15/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Kelly Carney
Respondent Lawyers(s): Richard S. Wayne
Arbitrator(s): Charles D. Underwood
Hearing Site: Cincinnati, OH
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| 12-00373 | 08/15/2012 | Claimant(s): Mary Spuhler
Claimant Lawyers(s): Mary Beth Fisher Spuhler
Respondent(s): Louis Grammes
Respondent Lawyers(s): Stephen Moniak
Arbitrator(s): Joseph J. Dougherty
Hearing Site: Philadelphia, PA
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| 10-03505 | 08/14/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Leo Kogan
Respondent(s): Matthew Iskric
Respondent Lawyers(s): Matthew John Iskric
Arbitrator(s): Edward M. Rosensteel
Hearing Site: New York, NY
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| 11-00566 | 08/14/2012 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sandra Lee Dolan, Marshall S. Galinsky, Margaret Ann Dubil
Hearing Site: Baltimore, MD
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| 12-01028 | 08/13/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Jay Nisbet
Respondent Lawyers(s): Jay Michael Nisbet
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 12-00194 | 08/10/2012 | Claimant(s): Karen Crist
Claimant Lawyers(s): Karen J. Crist
Respondent(s): Michael Gaenzle, TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Andrew M. Habenicht
Arbitrator(s): Steven Meyrich
Hearing Site: Denver, CO
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| 10-02609 | 08/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): David Feller, Ian Kerrigan, Michael McNeil
Respondent Lawyers(s): John A. Bender, Mitchell J. Albert
Arbitrator(s): G. E. Craig Doupe, Richard L. Warner, Peter L. Sill
Hearing Site: Seattle, WA
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| 11-00684 | 08/09/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Vivek Mahajan
Respondent Lawyers(s): Jamie Andrew Schreck
Arbitrator(s): Joseph B. Russell
Hearing Site: New York, NY
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| 10-04681 | 08/08/2012 | Claimant(s): William Kiefer
Claimant Lawyers(s): William Kiefer
Respondent(s): Fintegra
Respondent Lawyers(s): Sandra Smalley-Fleming
Arbitrator(s): Gerald M. Gifford, Brett W. Olander, Leo G. Stern
Hearing Site: Minneapolis, MN
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| 11-02203 | 08/08/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward J. Heffernan
Respondent(s): David Capps
Respondent Lawyers(s): Paul G. Beers
Arbitrator(s): Clarence Jordan Ball, Stuart H. Dunn, Donita M. King
Hearing Site: Richmond, VA
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