| 08-02227 | 08/14/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Ismail Jamoua
Respondent Lawyers(s): Michael L. Pitt
Arbitrator(s): Marvin I. Horowitz, Nancy R. Papo, Lee Hornberger
Hearing Site: Detroit, MI
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| 08-01355 | 07/15/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Sterling Stegall
Respondent Lawyers(s): Thomas E. Marshall
Arbitrator(s): Miles D. Hart, Dana R. Dawe, Anthony R. Paesano
Hearing Site: Detroit, MI
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| 08-00340 | 06/22/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Strand
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Matthew W. Schlegel, Gregory M. Gendron, Floyd E. Jamison
Hearing Site: Detroit, MI
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| 08-01672 | 06/09/2009 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David Belcher
Respondent(s): Michael Burns
Respondent Lawyers(s): Thomas E. Marshall
Arbitrator(s): John R. Main, Norman A. Samson, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
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| 08-04173 | 04/22/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Parker
Respondent Lawyers(s): Michael Joe Parker
Arbitrator(s): Robert A. Vogler
Hearing Site: Detroit, MI
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| 08-00797 | 02/27/2009 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): Scott J. Vold
Respondent(s): Christopher Ernvall, Morgan Stanley & Co., Larry Bluhm, Michele Vanderlinde
Respondent Lawyers(s): Eric S. Richards, John A. Hubbard
Arbitrator(s): Kenneth J. Safran, Chris D. Kontos, William M. Azkoul
Hearing Site: Detroit, MI
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| 07-01469 | 02/24/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Christopher Theut
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Mauricio Kohn, Patrick R. Sughroue, Eric S. Richards
Hearing Site: Detroit, MI
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| 07-03256 | 02/12/2009 | Claimant(s): Alan Gildenberg
Claimant Lawyers(s): Jay A. Schwartz
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): Marvin I. Horowitz, Norman A. Samson, Earlene R. Baggett-Hayes
Hearing Site: Detroit, MI
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| 06-03243 | 12/23/2008 | Claimant(s): Planco Financial Services.
Claimant Lawyers(s): Mark T. Boonstra
Respondent(s): Sarah Habitz, Sean Ritchlin
Respondent Lawyers(s): Eric S. Richards
Arbitrator(s): Mark L. Kowalsky, Burton L. Ansell, William P. Thorpe
Hearing Site: Detroit, MI
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| 08-00291 | 12/05/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Dewey Steffen
Respondent Lawyers(s): Gregory J. Boulahanis
Arbitrator(s): Robert A. Vogler, Stephen D. Arkwright, Conrad W. Koski
Hearing Site: Detroit, MI
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