| 11-02137 | 07/02/2012 | Claimant(s): Marshall Baron, Funding Evolution Partners LLC
Claimant Lawyers(s): Marshall Baron
Respondent(s): Dennis Grossman, Grossman & Co.
Respondent Lawyers(s): Dennis Grossman
Arbitrator(s): Brian J. Burstin
Hearing Site: New York, NY
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| 11-04072 | 06/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Jonathan Tuoti
Respondent Lawyers(s): Jonathan J. Tuoti
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Phoenix, AZ
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| 11-04435 | 06/29/2012 | Claimant(s): BBVA Securities Of Puerto Rico.
Claimant Lawyers(s): Robert J. Harvey
Respondent(s): Dennis Cummings
Respondent Lawyers(s): Carlos E. Bayron
Arbitrator(s): Nancy J. Cliff
Hearing Site: San Juan, PR
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| 12-00438 | 06/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Hathaway
Respondent Lawyers(s): Robert W. Hathaway
Arbitrator(s): Joe S. Tarrer
Hearing Site: Phoenix, AZ
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| 12-00465 | 06/29/2012 | Claimant(s): Morgan Stanley, MSSB FA Notes Holdings
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Brendan O'brien
Respondent Lawyers(s): Brendan Patrick O'Brien
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
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| 11-01487 | 06/28/2012 | Claimant(s): Jason Lowther
Claimant Lawyers(s): Steve A. Buchwalter
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Larry Haugaard, Donald A. Duncan, Robert Alan Merring
Hearing Site: Los Angeles, CA
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| 11-02335 | 06/28/2012 | Claimant(s): J.P. Morgan Securities LLC
Claimant Lawyers(s): Eugene L. Small
Respondent(s): Keith Melanson
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Nancy E. Watters, Arthur Thomas Carr
Hearing Site: Boston, MA
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| 11-03446 | 06/28/2012 | Claimant(s): Joshua Zillmer
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): PNC Investments
Respondent Lawyers(s): Deborah I. Ecker
Arbitrator(s): Monica I. Salis, Bruce N. Sankin, Peter A. Cartwright
Hearing Site: Boca Raton, FL
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| 11-03813 | 06/28/2012 | Claimant(s): Chad Joshpe
Claimant Lawyers(s): Timothy Feil
Respondent(s): Allan Hawkins
Respondent Lawyers(s): Joseph Keenan
Arbitrator(s): James M. Tipton, Sherrie R. Abney, Karen J. Zvonecek
Hearing Site: Dallas, TX
| | Expungement |
| 12-00541 | 06/27/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Michael O'Donnell
Respondent Lawyers(s): Michael Joseph O'Donnell
Arbitrator(s): Emily J. Lewis
Hearing Site: Pittsburgh, PA
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