| 09-04530 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Shane Wheeler
Respondent Lawyers(s): Shane Wheeler
Arbitrator(s): John P. Cullem, Thomas R. Carlsen, Michael S. Hill
Hearing Site: Tampa, FL
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| 09-04274 | 02/28/2011 | Claimant(s): Marc Miller
Claimant Lawyers(s): George L. Guerra
Respondent(s): Edward Jones
Respondent Lawyers(s): Jason Haselkorn
Arbitrator(s): Richard J. Fuller, Mary T. Hettig, Gerald F. Gude
Hearing Site: Tampa, FL
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| 10-01691 | 02/22/2011 | Claimant(s): Morton Wolverton
Claimant Lawyers(s): William T. Kirtley
Respondent(s): Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Scott J. Vold
Arbitrator(s): Langfred W. White, Brian G. Mooney, Michael R. Alford
Hearing Site: Tampa, FL
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| 10-03524 | 02/16/2011 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Clyde Thornburg
Respondent Lawyers(s): Clyde Marshall Thornburg
Arbitrator(s): William F. Glaser
Hearing Site: Tampa, FL
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| 09-06545 | 02/10/2011 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Gregory Roper
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Edith N. Dinneen, George E. Bouse, Noel K. Evans
Hearing Site: Tampa, FL
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| 09-07225 | 01/26/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T Roche
Respondent(s): Anthony Carpenter
Respondent Lawyers(s): Anthony Carpenter
Arbitrator(s): Gary M. Landau
Hearing Site: Tampa, FL
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| 09-01054 | 12/17/2010 | Claimant(s): Merrill Lynch, Pierce, Fenner & Smith
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): David Manno
Respondent Lawyers(s): Glenn E. Goldberg
Arbitrator(s): David D. Cohen, William R. Turner, Duncan H. Cameron
Hearing Site: Tampa, FL
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| 09-00249 | 12/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Telum Winters
Respondent Lawyers(s): Telum Jackey Winters
Arbitrator(s): Harris E. Bunkin, Irwin Glazer, Marcy R. Greer
Hearing Site: Tampa, FL
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| 09-06390 | 11/16/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): Kenneth Williamson
Respondent Lawyers(s): Kenneth T. Williamson
Arbitrator(s): Patricia A. Renovitch
Hearing Site: Tampa, FL
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| 09-04960 | 10/18/2010 | Claimant(s): Marc Wolff, Wolff Investment Planning
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Moors & Cabot.
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Russell W. Merriman, Lawrence Zenville Rosenberg, Robert Knickerbocker
Hearing Site: Tampa, FL
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