| 09-00047 | 03/29/2010 | Claimant(s): S. L. Reed & Company, Windward Capital Management Co.
Claimant Lawyers(s): Daniel K. Dik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Blaine Smith, J. Jean Elliott, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
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| 08-04325 | 03/18/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scotte Carter
Respondent Lawyers(s): Melanie C. Ross
Arbitrator(s): Larry Edmonson, Annette Gres Shepherd, Russell T. Doe
Hearing Site: Los Angeles, CA
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| 09-01221 | 03/17/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): James Phillips
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): Donald S. Simons, W. Alex King, Anna Marie Turco
Hearing Site: Los Angeles, CA
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| 09-05511 | 03/17/2010 | Claimant(s): Daniel Burbach
Claimant Lawyers(s): Daniel Burbach
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine Forster
Arbitrator(s): Gerald F. Corrigan
Hearing Site: Los Angeles, CA
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| 07-00469 | 03/15/2010 | Claimant(s): Robert Rose
Claimant Lawyers(s): Philip D. Dapeer
Respondent(s): John Barnes, Sanah Chung
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert Bruce MacDonald, Kirtley M. Thiesmeyer, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 09-02749 | 03/12/2010 | Claimant(s): Michael Banayan
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Roberta Haft, Elizabeth A. Copley, Barton J. Brewer
Hearing Site: Los Angeles, CA
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| 08-00479 | 03/01/2010 | Claimant(s): Grand Avenue Capital Partners, Grand Avenue Capital
Claimant Lawyers(s): Stephen Scott Talt
Respondent(s): Michael Marevich, Nick Liang, Thomas Korzenecki, Etech Securities.
Respondent Lawyers(s): Stephen Scott Talt, Tony D. Chen
Arbitrator(s): Robert J. Ruben, Basil Lewis, Esther A. Spachner
Hearing Site: Los Angeles, CA
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| 09-03843 | 03/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Michael Jacob Ewart
Respondent(s): Desiree Lu
Respondent Lawyers(s): Desiree H. Lu
Arbitrator(s): Jeffrey E. Skogsbergh
Hearing Site: Los Angeles, CA
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| 08-04656 | 02/22/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Manoj R. Andalkar
Respondent(s): Michael Sheriff
Respondent Lawyers(s): Michael Andrew Sheriff
Arbitrator(s): Vaughn Thomas Hale, William Montgomery, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
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| 08-02932 | 02/18/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): James Patton
Respondent Lawyers(s): Lisa Bond
Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk
Hearing Site: Los Angeles, CA
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