| 12-02131 | 01/28/2014 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Sandra D. Grannum
Respondent(s): Kevin Mercer
Respondent Lawyers(s): Kevin Mercer
Arbitrator(s): Mary Lou McGanney
Hearing Site: New York, NY
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| 12-00813 | 12/20/2013 | Claimant(s): Gary Moye, Joel Vanblerkom
Claimant Lawyers(s): August M. Lorio
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): William Montgomery
Arbitrator(s): Bernard A. Friedman, Mary Lou McGanney, John Caracciolo
Hearing Site: New York, NY
|  | Expungement |
| 10-05421 | 10/21/2013 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jonathan Berg
Respondent(s): Barry Ganz, Mark Seruya, Russell Ganz, Stephen Ackerman
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): Thomas E. Duggan, David I. Goldblatt, Mary Lou McGanney
Hearing Site: New York, NY
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| 09-01417 | 12/28/2012 | Claimant(s): Jennifer Frame-Tunney
Claimant Lawyers(s): David B. Wechsler
Respondent(s): J.P. Morgan Securities.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Peter P. Skomorowsky, Mary Lou McGanney, Lawrence B. Schiffman
Hearing Site: New York, NY
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| 10-02808 | 09/07/2012 | Claimant(s): GFI Securities LLC
Claimant Lawyers(s): Lauri F. Rasnick
Respondent(s): Daniel Robin
Respondent Lawyers(s): Daniel L. Robin
Arbitrator(s): Sidney D. Krasner, Sandra J. Mullings, Mary Lou McGanney
Hearing Site: New York, NY
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| 10-04805 | 10/12/2011 | Claimant(s): James Rathgeber
Claimant Lawyers(s): James A. Rathgeber
Respondent(s): Antony Turberville, David Locy, David McCoy, Denise Zumbrun, Kyong Kim, Paul Balog, Phil Fatta, Brookstone Securities.
Respondent Lawyers(s): Christopher L. Van De Water, Marc L. Abramson
Arbitrator(s): Gilbert F. Bach, Mary Lou McGanney, Marion F. Posner
Hearing Site: New York, NY
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