| 09-03806 | 02/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Richard Walker
Respondent Lawyers(s): Richard Cameron Walker
Arbitrator(s): Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 08-03148 | 02/10/2010 | Claimant(s): Igor Zey
Claimant Lawyers(s): James Hubbard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): James P. Murphy, Laurent C. Vonderweidt, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 09-03092 | 02/05/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Mandeville
Respondent Lawyers(s): Robert Lee Mandeville
Arbitrator(s): Philip W. Burge, Jeffrey E. Skogsbergh, Gerald C. Tambe
Hearing Site: Los Angeles, CA
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| 08-04450 | 02/02/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): D. Daxton White
Respondent(s): Derek Difani
Respondent Lawyers(s): Derek J. Difani
Arbitrator(s): William Montgomery
Hearing Site: Los Angeles, CA
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| 09-00936 | 01/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Daniel Aho
Respondent Lawyers(s): Daniel William Aho
Arbitrator(s): June J. Vinci
Hearing Site: Los Angeles, CA
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| 08-00944 | 01/11/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Sue Lee
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Audrey H. Ruben, James S. Carlson, Marc S. Joseph
Hearing Site: Los Angeles, CA
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| 09-01781 | 12/31/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Jeffrey S. Hood
Respondent(s): Charles Ray
Respondent Lawyers(s): Charles Ray
Arbitrator(s): Kenneth I. Rosenblum
Hearing Site: Los Angeles, CA
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| 08-02081 | 12/16/2009 | Claimant(s): John Yarbrough
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Kenneth E. Owen, David W. Casey, Karen J. Burneff
Hearing Site: Los Angeles, CA
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| 09-04235 | 11/24/2009 | Claimant(s): Damon Dozier
Claimant Lawyers(s): John Caldwell
Respondent(s): Mark Rhynes
Respondent Lawyers(s): Mark Herman Rhynes
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 09-03710 | 11/19/2009 | Claimant(s): Financial West Group
Claimant Lawyers(s): Robert Creaser
Respondent(s): Walter Ellis
Respondent Lawyers(s): Walter Allen Ellis
Arbitrator(s): George Frederick Garris
Hearing Site: Los Angeles, CA
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