10-01519 | 10/30/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Claimant Lawyers(s): Diane C. Fischer Respondent(s): Erik Littlejohn Respondent Lawyers(s): Cynthia R. Levin Moulton Arbitrator(s): Leah A. Murray, R. Lee Britton Jr., Ross D. Friend Hearing Site: Houston, TX
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11-04096 | 10/22/2012 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Brent Hardy Respondent Lawyers(s): Brent Odell Hardy Arbitrator(s): Stephen P. Hoffman, Richard Peabody Preston, Dana R. Krajack Hearing Site: Columbia, SC
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11-00501 | 10/19/2012 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Nicoli Grove Respondent Lawyers(s): Kathleen A. DeLaney Arbitrator(s): Joseph L. Claypool, Emily J. Lewis, John Andrew Wagner Hearing Site: Indianapolis, IN
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10-03469 | 10/09/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Brad Feinstein Respondent Lawyers(s): Max Folkenflik Arbitrator(s): Walter M. Schackman Hearing Site: New York, NY
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12-00345 | 09/25/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Bryan Hall Respondent Lawyers(s): Bryan McKinley Hall Arbitrator(s): Jerome Nelson Hearing Site: Baltimore, MD
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11-01535 | 09/10/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol Claimant Lawyers(s): Diane C. Fischer Respondent(s): Sean Rhodes Respondent Lawyers(s): Sean Collin Rhodes Arbitrator(s): Jeffrey W. Finke, Thomas F. Ryan, James A. Murphy Hearing Site: Chicago, IL
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11-01186 | 08/31/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes FA Claimant Lawyers(s): Diane C. Fischer Respondent(s): David Luetkemeyer Respondent Lawyers(s): David Patrick Luetkemeyer Arbitrator(s): Roland Pera, Arthur F. Dewsberry, Murray S. Levin Hearing Site: Kansas City, MO
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11-02706 | 08/30/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Kimberly Rule Respondent Lawyers(s): Tracey Edward Gajak Arbitrator(s): Philip I. McConnell Hearing Site: Dallas, TX
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11-01681 | 08/27/2012 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Randall Fisher Respondent Lawyers(s): Leonard J. Meyer Arbitrator(s): Dennis S. Boxeur, Michael E. Nelson, Van R. Oliver Hearing Site: Wichita, KS
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08-01744 | 08/20/2012 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Diane C. Fischer Respondent(s): John Meier Respondent Lawyers(s): Mark T. Butler Arbitrator(s): Andrew G. Young, James George Timpa, Norman A. Samson Hearing Site: Detroit, MI
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