| 14-02756 | 03/25/2016 | Claimant(s): Woodcock Foundation
Claimant Lawyers(s): Christopher W. Haden
Respondent(s): Morgan Stanley, Morgan Stanley & Co., Morgan Stanley DW Inc.
Respondent Lawyers(s): Steven M. Malina
Arbitrator(s): Charles H. Maguire, Amelia F. Adams, Fred J. Naffziger
Hearing Site: Louisville, KY
|  | Expungement |
| 15-01834 | 03/25/2016 | Claimant(s): Brenda Woodmansee, Brenda K. Woodmansee IRA
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Robert Smith, American General Securities Incorporated, Berthel, Fisher & Co Financial Svs., ProEquities.
Respondent Lawyers(s): Greg Curley, Heather R. Demyan, Stephen C. Jackson
Arbitrator(s): Daniel T. Hull, Rachel Kay Russell, Roslyn Barbee
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 14-02677 | 03/25/2016 | Claimant(s): APS Corporation USA
Claimant Lawyers(s): J. Samuel Tenenbaum
Respondent(s): Bruce Roberts, Peter Milhaupt, Sanjay Raghavan, Carolina Financial Securities
Respondent Lawyers(s): Sylvia M. Scott
Arbitrator(s):
Hearing Site: Chicago, IL
| | $0 |
| 14-03016 | 03/24/2016 | Claimant(s): Carlos L. Merced, Obdulio Melendez Ramos, Ramon Velez Garcia
Claimant Lawyers(s): Peter J. Mougey
Respondent(s): UBS Financial Services Inc., UBS Financial Services Inc. Of PR
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Frederick H. Bruce, Edward Arthur Horton, Joseph Neal Richardson
Hearing Site: San Juan, PR
| | $470,804 |
| 14-03117 | 03/24/2016 | Claimant(s): Laura Wanta, Thomas Wanta
Claimant Lawyers(s): Thomas J. Wanta
Respondent(s): Wells Fargo Advisors, Mark Heinen, First Clearing
Respondent Lawyers(s): Vanessa M. Hoffmann
Arbitrator(s):
Hearing Site: Milwaukee, WI
| | Expungement |
| 14-01760 | 03/23/2016 | Claimant(s): Christus Health
Claimant Lawyers(s): Jason W. Burge
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew J. Ehrlich
Arbitrator(s):
Hearing Site: Dallas, TX
| | $0 |
| 14-01901 | 03/23/2016 | Claimant(s): Dennis Urbanski
Claimant Lawyers(s): Jonathan E. Neuman
Respondent(s): Gregory Flemming
Respondent Lawyers(s): Gregory Flemming
Arbitrator(s): David R. Foley
Hearing Site: Buffalo, NY
| | $50,150 |
| 15-01161 | 03/22/2016 | Claimant(s): Elizabeth Canino, Eugene Canino, Eugene Canino Trust
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Harold McNaughton, Sagepoint Financial.
Respondent Lawyers(s): Amir Tadjedin, Elizabeth Poletti
Arbitrator(s): Susan B. Gans-Smith, Elizabeth Anne Moreno, W. Scott Bowersock
Hearing Site: Los Angeles, CA
| | Dismissed by Rule 12206 |
| 15-02018 | 03/22/2016 | Claimant(s): Christopher Carlson
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Ronald W. Sannicandro
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | $0 |
| 13-00549 | 03/21/2016 | Claimant(s): Crystal Diamond., Interphase., Roy M. Speer Fndn U/T/A dtd 12/16/86, Estate of Roy M. Speer, Roy M. Speer Rev. Trst U/T/A dtd 5/11/06
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): Ami Forte, Morgan Stanley, Terry McCoy
Respondent Lawyers(s): Colleen M. Fitzgerald, Jason M. Fedo
Arbitrator(s): Russell W. Merriman, Henry A. Tenenbaum, David F. Simon
Hearing Site: Tampa, FL
| | $34,387,800 |
