| 11-03410 | 07/12/2012 | Claimant(s): Stephen Pattison
Claimant Lawyers(s): Walter Birkel
Respondent(s): BB&T Investment Services.
Respondent Lawyers(s): Merrell B. Renaud
Arbitrator(s): Paul A. Fischer, Jane C. Carney, Turna R. Lewis
Hearing Site: Washington, DC
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| 10-05689 | 07/11/2012 | Claimant(s): Louis Micciulla
Claimant Lawyers(s): David C. Franceski
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Martin S. Chester
Arbitrator(s): Edward Blumstein, William W. Lowe, Robert C. Scanlan
Hearing Site: Philadelphia, PA
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| 11-03333 | 07/11/2012 | Claimant(s): Beth Du Toit
Claimant Lawyers(s): Beth DuToit
Respondent(s): CIM Securities.
Respondent Lawyers(s): Andrew I. Friedman
Arbitrator(s): Donald N. Tolin
Hearing Site: Denver, CO
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| 11-00763 | 07/09/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F Braun
Respondent(s): Paul Beninati
Respondent Lawyers(s): Max P. Minnig
Arbitrator(s): Baldwin Ranson, Bernard A. Clark, Hunter Joseph von Unschuld
Hearing Site: Denver, CO
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| 11-02520 | 07/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sara Soto
Respondent(s): Gustavo Mattei
Respondent Lawyers(s): Francisco Pujol
Arbitrator(s): Steven Gerard Goerke, Christopher J. Klein, Thomas R. Noonan
Hearing Site: San Juan, PR
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| 11-03514 | 07/06/2012 | Claimant(s): Randy Lacombe
Claimant Lawyers(s): John A. Nelson
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): John Stenson
Arbitrator(s): Phyllis Karasov
Hearing Site: Minneapolis, MN
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| 10-03961 | 07/05/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Daniel Kammerer, Citigroup Global Markets., Citigroup Global Markets Holdings.
Respondent Lawyers(s): Erin E. Mac Avoy, Krista L. Tushar
Arbitrator(s): Howard R. Gaines, Gregory D. Thomas, Patricia Mary Vondra
Hearing Site: Denver, CO
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| 10-04292 | 07/05/2012 | Claimant(s): Jonathan Underkofler
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Cary L. Weissman, Charles R. Berry, Donald Dreyfus
Hearing Site: Phoenix, AZ
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| 11-01736 | 07/05/2012 | Claimant(s): Hans Hernandez
Claimant Lawyers(s): Hans Kraus Hernandez
Respondent(s): Charles Stoffers, First Hanover Securities.
Respondent Lawyers(s): Charles Steven Stoffers, Gregory Ricca
Arbitrator(s): Stephen L. Lister
Hearing Site: Newark, NJ
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| 11-00256 | 07/03/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg, Esq.
Respondent(s): Allen Weiss
Respondent Lawyers(s): Neil R. Flaum
Arbitrator(s): Walter M. Schackman
Hearing Site: New York, NY
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