10-05180 | 02/25/2014 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Allan Watt, Gloria Keimer, Lois Powell, Paula Czapko, Robert Ratcliff Respondent Lawyers(s): Diane C. Fischer, Robert L. Herskovits Arbitrator(s): Earle J. Schwarz, Robert E. Treadaway, Eric Ross Cromartie Hearing Site: Dallas, TX
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12-03807 | 02/19/2014 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Diane C. Fischer Respondent(s): Jeff Lesniewicz Respondent Lawyers(s): Brian H. Sanchez Arbitrator(s): Jonathan B. Gilbert Hearing Site: Chicago, IL
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11-03138 | 02/06/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Mark Passalacqua Respondent Lawyers(s): Frank A. Lightmas Arbitrator(s): James G. Killough, Robert G. Brunton, Robert A. Dean Hearing Site: Atlanta, GA
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12-00154 | 01/17/2014 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Richard Marshall Respondent Lawyers(s): Randall K. Calvert Arbitrator(s): Kelley L. Cornelius, David William Lopp, Thomas Bentley Baines Hearing Site: Oklahoma City, OK
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10-05351 | 01/03/2014 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Diane C. Fischer Respondent(s): Anthony Vaccaro Respondent Lawyers(s): Kenneth A. Zimmern Arbitrator(s): Phillip Lee Scheldt, Simeon R. Trotter, Earle J. Schwarz Hearing Site: Dallas, TX
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13-01177 | 11/01/2013 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Robert Deane Respondent Lawyers(s): Robert Searles Deane Arbitrator(s): Tina E. Patterson Hearing Site: Baltimore, MD
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11-02818 | 10/08/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Grant Andreasen Respondent Lawyers(s): David W. Gutke Arbitrator(s): David W. Dresnick Hearing Site: Las Vegas, NV
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08-00680 | 10/04/2013 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Michael Gill Respondent Lawyers(s): Kevin T. Hoffman Arbitrator(s): Robert H. Hughes, Margaret Hotopp, Eileen Devaney Leo Hearing Site: Hartford, CT
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12-01025 | 09/26/2013 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Angela Keaveny Respondent Lawyers(s): Angela Marie Keaveny Arbitrator(s): Jeffrey W. Finke Hearing Site: Chicago, IL
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11-04606 | 09/24/2013 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): James Pilla Respondent Lawyers(s): Eric R. Breslin Arbitrator(s): Gregory J. Getz Hearing Site: New York, NY
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