| 08-04072 | 03/10/2010 | Claimant(s): Commonwealth Financial Network
Claimant Lawyers(s): Michael G. Donovan
Respondent(s): David Vorbeck, F. Dunnuck
Respondent Lawyers(s): Paul D. Vink
Arbitrator(s): Peter L. Pointer, Patrick J. Burley, Jeffrey Richard Chiappetta
Hearing Site: Indianapolis, IN
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| 09-02809 | 10/19/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Michael Wheatley
Respondent Lawyers(s): Michael J. Wheatley
Arbitrator(s): Patrick J. Burley
Hearing Site: Cincinnati, OH
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| 08-00463 | 04/27/2009 | Claimant(s): Stifel, Nicolaus & Company.
Claimant Lawyers(s): Christie A. Moore
Respondent(s): Thomas Polston
Respondent Lawyers(s): Bruce D. Atherton
Arbitrator(s): Patrick J. Burley, David T. Maddux, Anthony Ray Harris
Hearing Site: Louisville, KY
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| 08-00620 | 03/10/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Kopeck
Respondent Lawyers(s): Susan M. Guerette
Arbitrator(s): John B. Glueckert, Patrick J. Burley, Stanley Kenneth Evans
Hearing Site: Cincinnati, OH
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| 07-03545 | 10/17/2008 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Gerald T. Rohrer
Respondent(s): Joshua Fortin
Respondent Lawyers(s): Joshua Standish Fortin
Arbitrator(s): Robert P. Fogarty, Patrick J. Burley, Daniel R. LaMacchia
Hearing Site: Cincinnati, OH
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| 07-00904 | 11/21/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Craine
Respondent Lawyers(s): John Edwin Craine
Arbitrator(s): Patrick J. Burley, Marc E. Henn, Al P. Lawing
Hearing Site: Louisville, KY
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