| 10-02668 | 06/01/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Hopkins
Arbitrator(s): Thomas J. Ray
Hearing Site: Louisville, KY
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| 12-00415 | 06/01/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Edson
Respondent Lawyers(s): Eric Edson
Arbitrator(s): Melinda G. Jayson
Hearing Site: Dallas, TX
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| 11-03456 | 05/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Scottie Price
Respondent Lawyers(s): Scottie Ray Price
Arbitrator(s): Thomas J. Ray
Hearing Site: Kansas City, MO
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| 11-04588 | 05/30/2012 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Francis Lemieux
Respondent Lawyers(s): Francis Ephraim Lemieux
Arbitrator(s): Colette Manoil
Hearing Site: Boston, MA
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| 09-07228 | 05/29/2012 | Claimant(s): Enrique Pochat
Claimant Lawyers(s): W. Steven Adams
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Merrill Lynch International Finance
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Linda M. Granata, Bernard A. Becker, Leah Sherman
Hearing Site: Miami, FL
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| 11-00253 | 05/29/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jason E. Murtagh
Respondent(s): Christopher Coulter
Respondent Lawyers(s): Jonathan C. Andresen
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
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| 11-02167 | 05/29/2012 | Claimant(s): Cleaver Sanders
Claimant Lawyers(s): Malcom X. Larvadain
Respondent(s): Daniel Nowak, Chase Investment Services Corp.
Respondent Lawyers(s): Vicki M. Crochet
Arbitrator(s): Michael T. Nobile, Michele N. O'Brien, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
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| 11-03311 | 05/29/2012 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Sean Premock
Respondent Lawyers(s): Sean Donald Premock
Arbitrator(s): Daniel P. Lund
Hearing Site: Ft. Lauderdale, FL
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| 11-04314 | 05/29/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): James Mckee
Respondent Lawyers(s): James Scott Mckee
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
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| 10-02153 | 05/25/2012 | Claimant(s): P&M Corporate Finance
Claimant Lawyers(s): Raymond W. Henney
Respondent(s): Michael Paparella, Philip Gilbert, Plante & Moran, PLLC
Respondent Lawyers(s): Joseph N. Gross, Raymond W. Henney
Arbitrator(s): Gregory P. Szuter, Thomas H. Barnard, Jeffrey V. Gery
Hearing Site: Cleveland, OH
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