| 09-06725 | 04/16/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Mary C. Kelleher, Missy Daboul Margolis, Sharon L. Monroe
Hearing Site: Boston, MA
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| 12-01006 | 04/02/2015 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Omar Marquez
Respondent Lawyers(s): Steven M. Wilker
Arbitrator(s): O. Meredith Wilson, Joyce L. Tyler, Bert P. Krages
Hearing Site: Portland, OR
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| 12-00427 | 01/28/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mary Cavanaugh-Marsh
Respondent Lawyers(s): Mark D. Chester
Arbitrator(s): George W. Harding
Hearing Site: Phoenix, AZ
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| 13-00953 | 01/26/2015 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Lawrence R. Commers, Julie A. Hennen, Frederick Ramos
Hearing Site: Minneapolis, MN
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| 13-02007 | 11/26/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Westley
Respondent Lawyers(s): Desmond P. Curran
Arbitrator(s): Robert S. Sugarman
Hearing Site: Chicago, IL
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| 11-02044 | 11/13/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Alex Bolshem
Respondent Lawyers(s): Alex Bolshem
Arbitrator(s): Sandra Gale Behrle
Hearing Site: New York, NY
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| 14-00985 | 10/14/2014 | Claimant(s): optionsXpress.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kuba Jewgieniew, Clear Lake Business Services LLC, Clear Lake Company Limited Partnership
Respondent Lawyers(s): Brian VanCleave
Arbitrator(s): June McLaughlin, Michael D. Harrison, Erich Daniel Schiefelbine
Hearing Site: Las Vegas, NV
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| 14-00689 | 08/07/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan L. Walker
Hearing Site: Chicago, IL
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| 13-03694 | 06/24/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kris Stelzner
Respondent Lawyers(s): Kris Stanley Stelzner
Arbitrator(s): G. Marshall Abbey
Hearing Site: Chicago, IL
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| 13-03159 | 04/29/2014 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Lee
Respondent Lawyers(s): John Thomas Lee
Arbitrator(s): James P. McCrocklin
Hearing Site: Louisville, KY
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