| 10-00102 | 06/08/2012 | Claimant(s): Samual and Mary Hall
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): Beverly S. Gordon, Robert J. Morris, Richard R. Logsdon
Hearing Site: Tampa, FL
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| 10-03113 | 06/08/2012 | Claimant(s): Oliver Schwarz
Claimant Lawyers(s): Thomas C. Frost
Respondent(s): Citigroup Global Markets., Morgan Stanley, Citigroup Global Markets Holdings.
Respondent Lawyers(s): Scott L. Metzger, Shannon L. McDougald
Arbitrator(s): Barry E. Kersh, Janice L. Sperow, Sally G. Williams
Hearing Site: San Diego, CA
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| 10-04602 | 06/08/2012 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Jack Petersen
Respondent Lawyers(s): David E. Robbins
Arbitrator(s): Joseph B. Russell
Hearing Site: New York, NY
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| 11-01812 | 06/08/2012 | Claimant(s): Michael Bullock
Claimant Lawyers(s): Michael Lee Bullock
Respondent(s): Securities America., MFS Fund Distributors.
Respondent Lawyers(s): Frances S. Cohen, Lauren T. Clark
Arbitrator(s): Robert A. Weinman, Joyce L. Hurley, Robert C. Forst
Hearing Site: Los Angeles, CA
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| 12-00102 | 06/08/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Frank Guzman
Respondent Lawyers(s): Frank Jesus Guzman
Arbitrator(s): Mandel E. Himelstein
Hearing Site: San Diego, CA
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| 11-02943 | 06/07/2012 | Claimant(s): Karsten Caviezel, Kelly Caviezel
Claimant Lawyers(s): Terry A. Robinson
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Joseph C. Roberts
Hearing Site: Seattle, WA
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| 11-04348 | 06/07/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Christopher Emde
Respondent Lawyers(s): K. Dino Kostopoulos
Arbitrator(s): Maurice R. Dunie
Hearing Site: Richmond, VA
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| 11-01876 | 06/06/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael F. Braun
Respondent(s): George Doughton
Respondent Lawyers(s): Thomas J. Doughton
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
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| 11-03554 | 06/05/2012 | Claimant(s): SunTrust Investment Services., SunTrust Bank
Claimant Lawyers(s): Kenneth M. Bryant
Respondent(s): Corey Anderson
Respondent Lawyers(s): Salvador M. Hernandez
Arbitrator(s): Fred W. Beesley, Richard G. Isaac, Kenneth M. Jackson
Hearing Site: Nashville, TN
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| 11-02833 | 06/04/2012 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): James Siegel
Respondent(s): Krishna Darooka
Respondent Lawyers(s): Krishna Kumar Darooka
Arbitrator(s): Donald J. Zoeller, Joseph N. Stineman, David S. Paul
Hearing Site: New York, NY
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