| 11-01894 | 10/24/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Jeffrey Zimmerman
Respondent(s): Bryant Hayward
Respondent Lawyers(s): Bryant Sean Hayward
Arbitrator(s): Dennis R. Frohlich
Hearing Site: Denver, CO
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| 09-06066 | 10/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Christopher St. Laurent
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Mark A. Myers, Jeff Kilgore, Carlton A. Butler
Hearing Site: Houston, TX
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| 10-03651 | 10/21/2011 | Claimant(s): David Middlemiss
Claimant Lawyers(s): Leigh A. Lieberman
Respondent(s): Garry Payne, LFA, LimitedLiability Company, Lincoln Financial Advisors Corporation, Lincoln Life&Annuity Company of New York
Respondent Lawyers(s): Brian J. Butler
Arbitrator(s): Frank C. Fogl, Stuart A. Ober, Peter A.P. Dunlop
Hearing Site: Syracuse, NY
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| 10-03890 | 10/21/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Andrew Quinn
Respondent Lawyers(s): Stephen H. Osborne
Arbitrator(s): Paul E. Dahlman
Hearing Site: Reno, NV
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| 10-04580 | 10/21/2011 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Douglas Black
Respondent Lawyers(s): Douglas Black
Arbitrator(s): Nicholas John Taldone
Hearing Site: Boca Raton, FL
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| 10-05620 | 10/21/2011 | Claimant(s): Bruce Marks
Claimant Lawyers(s): Bruce W. Marks
Respondent(s): Cindy Deleo, Morgan Stanley DW Inc., Linda Cain, Timothy Adkins
Respondent Lawyers(s): Ronald H. Isroff
Arbitrator(s): Roger W. Van Deusen, Robert M Lustig, Daniel L. Bonder
Hearing Site: Cleveland, OH
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| 11-00582 | 10/21/2011 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Revan R. Schwartz
Respondent(s): Aviv Hen
Respondent Lawyers(s): Martin I. Unger
Arbitrator(s): Harold I. Geringer
Hearing Site: New York, NY
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| 11-02649 | 10/21/2011 | Claimant(s): Advanced Equities.
Claimant Lawyers(s): Grant R. Cornehls
Respondent(s): Frank Mazzola, Jared Carmel, Felix Investments LLC
Respondent Lawyers(s): Barry M. Bordetsky, Catania Facher
Arbitrator(s): Marguerite B. Filson, Stuart Rothenstein, Allan E. Johnson
Hearing Site: New York, NY
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| 10-01073 | 10/20/2011 | Claimant(s): Charles Cerone
Claimant Lawyers(s): Joel N. Kreizman
Respondent(s): Banc of America Investment Services Inc., Merrill Lynch Pierce Fenner & Smith Inc., Bank of America, Banc of America Insurance Services
Respondent Lawyers(s): Karen P. Gaster
Arbitrator(s): Louis H. Miron, Sandralin J. Kiss, Barbara Weisman
Hearing Site: Newark, NJ
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| 11-01670 | 10/20/2011 | Claimant(s): Suzanne Nitzberg
Claimant Lawyers(s): Suzanne H. Nitzberg
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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