| 09-04965 | 02/23/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Ferguson
Respondent Lawyers(s): William Allen Ferguson
Arbitrator(s): Harold Engelman
Hearing Site: Raleigh, NC
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| 08-04560 | 02/18/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Trizila
Respondent Lawyers(s): Kevin M. Trizila
Arbitrator(s): William E. Barker, Todd R. Gough, Karen J. Zvonecek
Hearing Site: Dallas, TX
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| 09-00251 | 01/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Chad Caros
Respondent Lawyers(s): Chad Caros
Arbitrator(s): Daniel C. Kriser, Daniel Baruch Lidawer, Joseph D. Savino
Hearing Site: Chicago, IL
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| 08-04065 | 01/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Newman
Respondent Lawyers(s): Steven Arthur Newman
Arbitrator(s): Edith M. Novack, Simone A. Muscarnera, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
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| 09-02038 | 12/22/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Jack B. Golden
Hearing Site: Hartford, CT
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| 08-03834 | 12/10/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bradley Stipp
Respondent Lawyers(s): Fred B. Monroe
Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
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| 09-03029 | 12/09/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joseph Morrow
Respondent Lawyers(s): Joseph H. Morrow
Arbitrator(s): Paul K. Barenholtz
Hearing Site: New York, NY
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| 09-01681 | 11/30/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bernard Cerrone
Respondent Lawyers(s): Bernard John Cerrone
Arbitrator(s): Christine Armstrong, Michael L. Letendre, John B. Dew
Hearing Site: Augusta, ME
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| 08-00743 | 10/12/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Hopkins
Respondent Lawyers(s): Mark D. Hopkins
Arbitrator(s): Lonnie L. Cunningham, Thomas P. Hoover, Christopher Daniel Gryzen
Hearing Site: Kansas City, MO
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| 08-02880 | 10/08/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Becker
Respondent Lawyers(s): William L. Hickman
Arbitrator(s): Michael E. Nelson, Charles H. Lewis, Glenn E. Johnson
Hearing Site: Oklahoma City, OK
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