| 09-06649 | 11/12/2010 | Claimant(s): First Southwest Company
Claimant Lawyers(s): Christopher R. Richie
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Peter J. Conlon, Linda B. Kelly, Robert E. Treadaway
Hearing Site: Dallas, TX
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| 10-02108 | 10/28/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Michael Shaw
Respondent Lawyers(s): Michael Shaw
Arbitrator(s): Leah A. Murray
Hearing Site: Dallas, TX
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| 09-01731 | 09/30/2010 | Claimant(s): James Wikert
Claimant Lawyers(s): C. Bruce Willis
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
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| 09-06942 | 08/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tim Dowden
Respondent Lawyers(s): J. Mitchell Little
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
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| 10-00783 | 08/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): James Miller
Respondent Lawyers(s): James R. Miller
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 08-04163 | 07/13/2010 | Claimant(s): Sandra Kobel
Claimant Lawyers(s): Robert Ruotolo
Respondent(s): Cessford Prentice, 1st Global Advisors., 1st Global Capital Corp., 1st Global Insurance Services., 1st Global Retirement Services., 1st Global.
Respondent Lawyers(s): William N. Radford
Arbitrator(s): Daniel A. Kile, Martha Z. Ralstin, Charles Lynn Schmidt
Hearing Site: Dallas, TX
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| 09-01452 | 06/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kenneth D. Bingham, Simeon R. Trotter, Robert R. Nursey
Hearing Site: Dallas, TX
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| 09-00266 | 06/25/2010 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Phil Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Henry Hermann, Richard A Miller, Darrell G. Compton
Hearing Site: Dallas, TX
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| 09-03477 | 06/17/2010 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Martin S. Chester
Respondent(s): Michael Dagnan
Respondent Lawyers(s): Michael Asher Dagnan
Arbitrator(s): Ronald G. Johnson
Hearing Site: Dallas, TX
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| 09-02732 | 04/15/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Wesley Long
Respondent Lawyers(s): Wesley G. Long
Arbitrator(s): George F. Longino
Hearing Site: Dallas, TX
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