| 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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| 11-04337 | 01/14/2013 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Joseph Gilleran
Respondent Lawyers(s): Joseph Santo Gilleran
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 11-01145 | 10/31/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Frederick S. Schrils
Respondent(s): Robert Rowe
Respondent Lawyers(s): Glenn S. Gitomer
Arbitrator(s): Henry G. Nothnagel, Jeffrey W. Finke, Robert William Berliner
Hearing Site: Chicago, IL
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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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| 11-02018 | 05/10/2012 | Claimant(s): Charles Echemuna
Claimant Lawyers(s): Charles Echeumuna
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Robert M. Little
Arbitrator(s): Peter Ordower, Jeffrey W. Finke, Robert J. Larson
Hearing Site: Chicago, IL
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| 11-00970 | 08/02/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Hegyan
Respondent Lawyers(s): Michael G. Hegyan
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Chicago, IL
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| 10-02159 | 06/16/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): John Ohara
Respondent Lawyers(s): John Jerome Ohara
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Louisville, KY
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| 10-03967 | 04/04/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Gregory Januleski
Respondent Lawyers(s): Gregory John Januleski
Arbitrator(s): Jeffrey W. Finke
Hearing Site: Cincinnati, OH
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| 09-04996 | 02/18/2011 | Claimant(s): Sidney Small
Claimant Lawyers(s): Seth Huberman
Respondent(s): RBC Capital Markets LLC, Timothy Disparte
Respondent Lawyers(s): Jessica J. Stomski, Kevin S. Besetzny
Arbitrator(s): Jeffrey W. Finke, Brian E. Slotky, Timothy M. Feeney
Hearing Site: Chicago, IL
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| 08-03491 | 04/01/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): David Lee
Respondent(s): Bart Ellis
Respondent Lawyers(s): Michael E. Lavelle
Arbitrator(s): Jeffrey W. Finke, Elizabeth C. Burton, Elayne Morgan
Hearing Site: Chicago, IL
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