| 12-01504 | 08/01/2012 | Claimant(s): Marc Rosenbach
Claimant Lawyers(s): Robert Girard
Respondent(s): Lawrence Watanabe, Richard Kanner, William Nason
Respondent Lawyers(s): Lawrence Watanabe, Richard Kanner, William Nason
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-03768 | 07/31/2012 | Claimant(s): Jeffrey Jennings
Claimant Lawyers(s): Jeff Jennings
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Marcie Mintz
Arbitrator(s): Bill Swinford, James Clifton Stone, Jeffrey M. Bain
Hearing Site: Louisville, KY
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| 11-00875 | 07/27/2012 | Claimant(s): Claudia Hurtado
Claimant Lawyers(s): Vincent Imbesi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Thomas J. Cahill
Arbitrator(s): Saverio J. Cina, Linda R. Alpert, Arnold Wagner
Hearing Site: New York, NY
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| 11-02038 | 07/27/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Scott Hartshorn
Respondent Lawyers(s): David F. McComb
Arbitrator(s): Carol H. Gold, Faye Riva Cohen, Timothy J. Tarpey
Hearing Site: Philadelphia, PA
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| 10-01898 | 07/26/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Frank Andrea
Respondent Lawyers(s): Frank Andrea
Arbitrator(s): Lewis W. Slaughter, Kenneth J. Bennett, Patricia A. Renovitch
Hearing Site: Jacksonville, FL
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| 10-04871 | 07/26/2012 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Michelle Davis, Peter Bermont
Respondent Lawyers(s): Jeffrey R. Sonn, Ronald Shindler
Arbitrator(s): David P. Slater, Neil J. Berman, Rodolfo C. Angulo
Hearing Site: Miami, FL
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| 11-01922 | 07/25/2012 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne H. Nitzberg
Respondent(s): HSBC Securities (Usa) Inc.
Respondent Lawyers(s): Jane H. Kauh
Arbitrator(s): Roger M. Deitz, Bernard A. Friedman, Kumar Atmakuri Ram
Hearing Site: New York, NY
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| 11-03788 | 07/25/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Christopher Skoog
Respondent Lawyers(s): Christopher Douglas Skoog
Arbitrator(s): Robert W. Vernon
Hearing Site: Los Angeles, CA
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| 10-05091 | 07/24/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Fallon
Respondent Lawyers(s): Todd C. Atkins
Arbitrator(s): Mary M. O'Neil, David L. Maislen, Anna Marie Turco
Hearing Site: Los Angeles, CA
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| 12-00012 | 07/23/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Wayne Wolf
Respondent Lawyers(s): Wayne Edward Wolf
Arbitrator(s): Michael M. Hachigian
Hearing Site: Las Vegas, NV
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