| 09-01641 | 03/16/2010 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Steven H. Thomas
Respondent(s): Jesup & Lamont Securities Corp
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): R. Theodore Moock, Robert R. Nursey, Robert E. Behrendt
Hearing Site: Dallas, TX
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| 09-00081 | 03/04/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Van Cleve
Respondent Lawyers(s): Charles M. Hamilton
Arbitrator(s): William E. Barker, Henry Hermann, Simeon R. Trotter
Hearing Site: Dallas, TX
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| 09-05256 | 02/23/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Gavigan
Respondent Lawyers(s): Jeffrey T. Gavigan
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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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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| 08-03977 | 12/21/2009 | Claimant(s): Signal Securities Inc.
Claimant Lawyers(s): Gilbert W. Boyce
Respondent(s): David Beck
Respondent Lawyers(s): David L. Beck
Arbitrator(s): Arthur H. Geffen, Priscilla Kim Park, Preston Deaton Rigsby
Hearing Site: Dallas, TX
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| 08-04793 | 12/21/2009 | Claimant(s): Christopher Wanken
Claimant Lawyers(s): Christopher Michael Wanken
Respondent(s): John Wanken, Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan, William J. Dunne
Arbitrator(s): Michael E. Rohde, Maryanne M. Esser, Thomas Richard Delaney
Hearing Site: Dallas, TX
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| 08-03243 | 11/23/2009 | Claimant(s): Christopher Winton
Claimant Lawyers(s): Todd R. Hixon
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Henry Hermann, Donald C. Hood, Helmut O. Wolff
Hearing Site: Dallas, TX
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| 09-00253 | 10/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gabrell Chambers
Respondent Lawyers(s): Gabrell Christian Chambers
Arbitrator(s): Kenneth D. Bingham, David B. Dyer, David R. Steckler
Hearing Site: Dallas, TX
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| 09-01914 | 10/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Kelley Dean
Respondent Lawyers(s): Kelley Dean
Arbitrator(s): G. Dale McKissick
Hearing Site: Dallas, TX
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| 07-03149 | 08/28/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Robert L. Tobey
Respondent(s): Andrew Williams
Respondent Lawyers(s): Andrew F. Williams
Arbitrator(s): Mark I Preston, John M. Wilkinson, Carleton E. Blankenburg
Hearing Site: Dallas, TX
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