| 10-02401 | 10/06/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Shannon Ness-Jackson
Respondent Lawyers(s): Shannon M. Ness-Jackson
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Tampa, FL
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| 09-01577 | 09/09/2010 | Claimant(s): David Kronsbein
Claimant Lawyers(s): Vincent B. Lynch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Jana Bruder
Arbitrator(s): Gordon G. Bowles, David M. Snyder, Russell W. Merriman
Hearing Site: Tampa, FL
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| 10-00469 | 09/01/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Leo Sala
Respondent Lawyers(s): Leo Sala
Arbitrator(s): Kitty G. Grubb
Hearing Site: Tampa, FL
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| 10-00714 | 09/01/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Lee Thorpe
Respondent Lawyers(s): Lee J. Thorpe
Arbitrator(s): Kenneth R. Starr
Hearing Site: Tampa, FL
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| 09-03941 | 07/15/2010 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Mark Graham
Respondent Lawyers(s): Daniel P. Dietrich
Arbitrator(s): Benjamin E. Fisher, Ruth C. Adrian, Ian S. Greig
Hearing Site: Tampa, FL
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| 08-03835 | 06/23/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Jason R. Lindsay
Respondent(s): Malcolm Taaffe
Respondent Lawyers(s): Malcolm F. Taaffe
Arbitrator(s): Daniel B. Daugherty, Marshall Felton Wright, John William Bowman
Hearing Site: Tampa, FL
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| 09-06795 | 05/26/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Courtney R. Reid
Respondent(s): Richard Ryder
Respondent Lawyers(s): Richard J Ryder
Arbitrator(s): Robert W. Kneeland
Hearing Site: Tampa, FL
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| 09-06435 | 05/25/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Bret Tackett
Respondent Lawyers(s): David J. Linesch
Arbitrator(s): Myron S. Dunay
Hearing Site: Tampa, FL
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| 09-05556 | 05/21/2010 | Claimant(s): John Sellers
Claimant Lawyers(s): John Garnet Sellers
Respondent(s): Donald Wojnowski, Steven Rabinovici, Empire Financial Group., Empire Investment Advisors., Jesup & Lamont Inc., Jesup & Lamont Securities Corp, Penson Financial Services.
Respondent Lawyers(s): Mark Cuccaro, Todd A. Zuckerbrod
Arbitrator(s): Edith N. Dinneen
Hearing Site: Tampa, FL
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| 08-04274 | 04/19/2010 | Claimant(s): Joshua Lowe
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): D. Daxton White
Arbitrator(s): Horace A. Andrews, David F. Simon, Dennis R. Sullivan
Hearing Site: Tampa, FL
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