| 10-04361 | 05/25/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney Holdings, LL
Claimant Lawyers(s): Joe Gehring
Respondent(s): Wells Fargo Advisors, Douglas Carnahan, Lawrence King, Sandra Butler
Respondent Lawyers(s): James E. Heavey, Joe Gehring, Scott C. Paton
Arbitrator(s): Edward Baer, Roland M. Cavalier, Michael A. Orticelle
Hearing Site: Albany, NY
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| 11-00270 | 05/25/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Karen Paige aka Karen Sennes
Respondent Lawyers(s): Karen L. Paige aka Karen Sennes
Arbitrator(s): Alan Stamm
Hearing Site: San Diego, CA
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| 11-01743 | 05/25/2012 | Claimant(s): Blake Pratz
Claimant Lawyers(s): John L. Grayson
Respondent(s): Kirstin Turner, Morgan Stanley, Rose Cook
Respondent Lawyers(s): Nancy L. Patterson
Arbitrator(s): Vernon Keith Roberts, William Edward Buck, Michael S. Wilk
Hearing Site: Houston, TX
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| 11-03621 | 05/25/2012 | Claimant(s): Obsidian Financial Group, Llc
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Akil Channer
Respondent Lawyers(s): Akil Jelani Channer
Arbitrator(s): Toby Susan DeSimone
Hearing Site: New York, NY
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| 11-04359 | 05/25/2012 | Claimant(s): Gary Sinderbrand, Steven Sinderbrand
Claimant Lawyers(s): Carlos Ricca
Respondent(s): Maury Hoberman, James & Shirley Feigenbaum, Lawrence J. & Lisa N. Cohen, Robert Brown Trust
Respondent Lawyers(s): Seth Lipner
Arbitrator(s): James S. Hazard
Hearing Site: New York, NY
| | Expungement |
| 12-00227 | 05/25/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Kevin Howard
Respondent Lawyers(s): D. Jonathan Hadaya
Arbitrator(s): Elliott David Finkel
Hearing Site: Los Angeles, CA
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| 10-04590 | 05/24/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Douglas W. Hyman
Respondent(s): James Reim
Respondent Lawyers(s): Vicki Kuftic Horne
Arbitrator(s): Barry Goldman, Paul H. McKenna, James G. Kirk
Hearing Site: Pittsburgh, PA
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| 11-01566 | 05/24/2012 | Claimant(s): James Sideris
Claimant Lawyers(s): Konstantinos Volakos
Respondent(s): John Kakonikos, Kostas Tsamos
Respondent Lawyers(s): John B. Kakonikos, Kostas Tsamos
Arbitrator(s): Gary W. Sherbell
Hearing Site: New York, NY
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| 11-01939 | 05/24/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Christopher Lee
Respondent Lawyers(s): Christopher Jung Lee
Arbitrator(s): Christine Moore
Hearing Site: New York, NY
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| 11-02655 | 05/23/2012 | Claimant(s): Edwin Forte
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): David Isolano, Max International Broker/Dealer
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Joseph B. Russell, Robert S. Getman, David A. Schwarz
Hearing Site: New York, NY
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