| 10-05384 | 01/27/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Juan Lariva
Respondent Lawyers(s): Brian D. Buckstein
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
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| 11-02800 | 01/27/2012 | Claimant(s): Cambridge Investment Research.
Claimant Lawyers(s): Seth A Miller
Respondent(s): Candice Hutton
Respondent Lawyers(s): Candice Joy Hutton
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
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| 11-00024 | 01/26/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Scot Barringer
Respondent Lawyers(s): Scot Barringer
Arbitrator(s): Robert S. McConnell
Hearing Site: Denver, CO
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| 11-02835 | 01/26/2012 | Claimant(s): Jeffrey Alexander
Claimant Lawyers(s): Logan S. Fisher
Respondent(s): Martin Hauptman
Respondent Lawyers(s): Adolph Seltzer
Arbitrator(s): Leah G. Rabinowitz, Marguerite B. Filson, Stephen M. Gross
Hearing Site: New York, NY
| | Expungement |
| 09-04852 | 01/25/2012 | Claimant(s): Edward Bowne
Claimant Lawyers(s): Cathleen Scott
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Deborah A. Catalano
Arbitrator(s): Myron E. Levenson, Gary Paul Whorton, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 09-06004 | 01/25/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Papez
Respondent Lawyers(s): Howard J. Rosenburg
Arbitrator(s): Herb Schwartz
Hearing Site: Las Vegas, NV
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| 10-05454 | 01/25/2012 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan Sugarman
Respondent(s): David Wilsman
Respondent Lawyers(s): David K. Wilsman
Arbitrator(s): Donald W. Cohen
Hearing Site: Chicago, IL
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| 11-00457 | 01/25/2012 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Charles Kopp, III
Respondent Lawyers(s): Charles W. Kopp
Arbitrator(s): Shari B. Broder
Hearing Site: Hartford, CT
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| 11-02959 | 01/25/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Roache
Respondent Lawyers(s): Jeffrey L. Roache
Arbitrator(s): Bill Swinford
Hearing Site: Indianapolis, IN
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| 11-04810 | 01/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Mark Carberry
Respondent(s): Amir Monsefi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): John D. Vaughn, Timothy R. Pestotnik
Arbitrator(s): Robert D. Sussin, Kirtley M. Thiesmeyer, Karen J. Burneff
Hearing Site: Los Angeles, CA
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