| 09-01518 | 03/13/2012 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Soukkay Keomysy
Respondent Lawyers(s): Adam A. Gillette
Arbitrator(s): Emily F. Seesel, Jeffrey W. Jacobs, John R. Lepley
Hearing Site: Minneapolis, MN
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| 10-04299 | 02/17/2012 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Carrie Bechtold
Respondent(s): Leslie Ingram Miller
Respondent Lawyers(s): Leslie Ann Ingram Miller
Arbitrator(s): Douglas Randall Blohm, Kathryn J. Hoy, Mark S. Gleason
Hearing Site: Minneapolis, MN
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| 11-02861 | 12/22/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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| 11-01130 | 08/26/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Jon Reyerson
Respondent Lawyers(s): Clayton D. Halunen
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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| 11-00874 | 08/16/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
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| 11-00435 | 07/14/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): William Creamer
Respondent Lawyers(s): William George Creamer
Arbitrator(s): Irving A. Chesler
Hearing Site: Minneapolis, MN
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| 11-00279 | 07/07/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Susan Keator
Respondent Lawyers(s): David O.N. Johnson
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
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| 10-01502 | 06/21/2011 | Claimant(s): Thomas Laird
Claimant Lawyers(s): David E. Schlesinger
Respondent(s): Gerry Hairgrove, James Tricolli, RBC Capital Markets LLC, Stephen Yanisch
Respondent Lawyers(s): Kim M. Ruckdaschel-Haley
Arbitrator(s): Robert E. Robertson, Mark S. Gleason, Peter N. Thompson
Hearing Site: Minneapolis, MN
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| 10-02538 | 06/13/2011 | Claimant(s): Marlon Dubinsky
Claimant Lawyers(s): Gerald T. Laurie
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): John B. Orenstein, Natalie A. Roberts, Susan M. Sanger
Hearing Site: Minneapolis, MN
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| 10-02308 | 05/26/2011 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Brett Bauer
Respondent Lawyers(s): Brett Bauer
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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