| 10-04283 | 04/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Tony Barbisan
Respondent Lawyers(s): Tony Carlo Barbisan
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
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| 09-04962 | 04/04/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Erenfeld
Respondent Lawyers(s): David Sacks
Arbitrator(s): Jeanne C. Stilwell, Joseph W. Cheek, Dean K. Morell
Hearing Site: Portland, OR
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| 10-00889 | 01/24/2011 | Claimant(s): Black Rose Equity Management LLC
Claimant Lawyers(s): Sandra P. Espinosa
Respondent(s): Donald Williams
Respondent Lawyers(s): Donald Erick Williams
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
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| 10-03894 | 01/03/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Gilbert Pugliano
Respondent Lawyers(s): Gilbert Birdinground Pugliano
Arbitrator(s): Thomas D. Reese
Hearing Site: Portland, OR
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| 10-02475 | 12/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joel Davis
Respondent Lawyers(s): Joel Bernard Davis
Arbitrator(s): Robert M. Stein
Hearing Site: Portland, OR
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| 09-05470 | 12/13/2010 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChausse
Respondent(s): Knut Eie
Respondent Lawyers(s): Knut Ferdinand Eie
Arbitrator(s): Martin Mandel
Hearing Site: Portland, OR
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| 10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Pulsipher
Respondent Lawyers(s): Matthew James Pulsipher
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
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| 09-06580 | 10/11/2010 | Claimant(s): Thomas Tripp
Claimant Lawyers(s): B. Scott Whipple
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): Keith C. Folkman, Gary F. Purpura, Gregory N. Smith
Hearing Site: Portland, OR
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| 10-00994 | 09/08/2010 | Claimant(s): Black Rose Equity Management
Claimant Lawyers(s): Sandra P. Espinosa
Respondent(s): Eugene Williams
Respondent Lawyers(s): Eugene Leroy Williams
Arbitrator(s): Michael G. Hanlon
Hearing Site: Portland, OR
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| 10-00885 | 08/26/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Gary Feldman
Respondent Lawyers(s): Neal M. Goldstein
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
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