| 11-00634 | 04/16/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Sheetal Parikh
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Fredric R. Dichter
Hearing Site: Milwaukee, WI
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| 11-01383 | 04/16/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Chiarenza
Respondent Lawyers(s): Richard Douglas Chiarenza
Arbitrator(s): Walter S. Weiss
Hearing Site: Las Vegas, NV
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| 11-01116 | 04/13/2012 | Claimant(s): Jason Schlesinger
Claimant Lawyers(s): Richard E. Levine
Respondent(s): Wells Fargo Advisors, Peter Hong, Wallace Key
Respondent Lawyers(s): Mitchell Albert
Arbitrator(s): Joseph H. Sturdivant, Kenneth W. Gosliner, John J. Shook
Hearing Site: San Francisco, CA
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| 11-04099 | 04/13/2012 | Claimant(s): Christina Nielson
Claimant Lawyers(s): Rebecca E. MacLaren
Respondent(s): Charles Bigham
Respondent Lawyers(s): Paul W. Thomas
Arbitrator(s): Elliott Zachary Seff
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00798 | 04/12/2012 | Claimant(s): Jefferies & Company.
Claimant Lawyers(s): Robert L. Herskovits
Respondent(s): Alexander Kadish, Matthew Gorelik
Respondent Lawyers(s): Ryan D. Saba
Arbitrator(s): Robert D. Sussin, Suzanne Viau Chamberlain, Andrea Luise Halperin
Hearing Site: Los Angeles, CA
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| 10-00820 | 04/12/2012 | Claimant(s): Ricky Stark
Claimant Lawyers(s): Gerald Maltz
Respondent(s): James Stark, UBS Financial Services Inc.
Respondent Lawyers(s): Gerald Maltz, Philip A. Fortino
Arbitrator(s): Stephen J. Taddie, Eugene R. Nielson, James M. Arkoosh
Hearing Site: Phoenix, AZ
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| 10-05106 | 04/11/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Todd Ratner
Respondent(s): Donald Delahunt, James Vijande
Respondent Lawyers(s): J. Pat Sadler, Todd Ratner
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 08-04833 | 04/10/2012 | Claimant(s): Jeffrey Concepcion
Claimant Lawyers(s): Daniel M. Connell
Respondent(s): Lincoln Financial Advisors
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jeffrey M. Bain, Harvey Michael Rosenberg, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
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| 11-00252 | 04/10/2012 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): John Mullen
Respondent(s): Allen Hegener
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Ronald H. Walton, George K. Beardsley, Kenneth R. Starr
Hearing Site: Tampa, FL
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| 11-03907 | 04/09/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Luis Restrepo
Respondent Lawyers(s): Luis Fernando Restrepo
Arbitrator(s): Lester M. Rosenberg
Hearing Site: Miami, FL
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