09-06132 | 01/03/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Diane C. Fischer Respondent(s): Robert Miller Respondent Lawyers(s): Robert Douglas Miller Arbitrator(s): David A. Youngerman Hearing Site: St. Louis, MO
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10-02475 | 12/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Joel Davis Respondent Lawyers(s): Joel Bernard Davis Arbitrator(s): Robert M. Stein Hearing Site: Portland, OR
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09-03802 | 11/15/2010 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Rockwell Pearson Respondent Lawyers(s): Rockwell Stuart Pearson Arbitrator(s): Leon C. Tupy Hearing Site: Denver, CO
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09-00548 | 11/03/2010 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Cheri Johnson Respondent Lawyers(s): Lawrence R. Cock Arbitrator(s): Michael W. Reinhardt, Jeanne C. Stilwell, Kay A. Johnson, CRCP Hearing Site: Seattle, WA
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09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Diane C. Fischer Respondent(s): Tracy Wildeman Respondent Lawyers(s): Tracy Allen Wildeman Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren Hearing Site: Phoenix, AZ
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10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Matthew Pulsipher Respondent Lawyers(s): Matthew James Pulsipher Arbitrator(s): Dean J. Dietrich Hearing Site: Portland, OR
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08-04546 | 10/05/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Eric Werner Respondent Lawyers(s): Christopher R. Travis Arbitrator(s): Jeffrey Steinberg, Felix A. Meschini, Robert W. Ratti Hearing Site: Philadelphia, PA
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09-01179 | 09/28/2010 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Tricia Landry Respondent Lawyers(s): Brian D. Rich Arbitrator(s): Roger L. Crossland, Steven R. Rolnick, Jack B. Golden Hearing Site: Hartford, CT
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10-01058 | 09/28/2010 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Diane C. Fischer Respondent(s): Megan Gutierrez Respondent Lawyers(s): Megan Jean Gutierrez Arbitrator(s): Jeff Abrams Hearing Site: Albuquerque, NM
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09-04955 | 09/21/2010 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Troy Joseph Respondent Lawyers(s): Troy A. Joseph Arbitrator(s): Perry Lee Taylor Hearing Site: Atlanta, GA
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