10-02070 | 03/21/2011 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James J. McNamara Respondent(s): Edna Jackson Respondent Lawyers(s): Daniel D. Hill Arbitrator(s): Leon Fox Hearing Site: Minneapolis, MN
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09-01670 | 03/10/2011 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Julie H. Firestone Respondent(s): Lance Morque Respondent Lawyers(s): Bruce N. Crawford Arbitrator(s): Roger D. Johnson, Craig A. Gordon, Laura Kate Wennik Hearing Site: Minneapolis, MN
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10-02615 | 12/07/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Joseph D. MacLellan Respondent(s): Daniel Miller Respondent Lawyers(s): Daniel Francis Miller Arbitrator(s): Thomas J. Gmeinder Hearing Site: Minneapolis, MN
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09-06471 | 08/11/2010 | Claimant(s): Saengnakhorn Cinq-Mars Claimant Lawyers(s): Saengnakhorn Phothisane Cinq-Mars Respondent(s): Wells Fargo Investments Respondent Lawyers(s): Renan Sugarman Arbitrator(s): William J. Rosso, Andrew R. Dick, Frederick Ramos Hearing Site: Minneapolis, MN
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09-01642 | 06/28/2010 | Claimant(s): Michael McMahon Claimant Lawyers(s): Shannon M. McDonough Respondent(s): Stifel, Nicolaus & Co.. Respondent Lawyers(s): Richard H. Kuhlman Arbitrator(s): James A. Lundberg, Andrew R. Dick, Gary L. Hansen Hearing Site: Minneapolis, MN
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08-02601 | 03/05/2010 | Claimant(s): Piper Jaffray & Co. Claimant Lawyers(s): Terrence J. Fleming Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret Respondent Lawyers(s): Richard Kuhlman Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver Hearing Site: Minneapolis, MN
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09-04782 | 02/11/2010 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Matthew Fitch Respondent Lawyers(s): Matthew Daniel Fitch Arbitrator(s): Jerry M. Helfand Hearing Site: Minneapolis, MN
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08-04724 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies Claimant Lawyers(s): Julie A. Kole Respondent(s): Jack Swenson, John Thorn, Michael Swenson Respondent Lawyers(s): Amanda M. Knudsen Arbitrator(s): Hearing Site: Minneapolis, MN
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09-02026 | 11/11/2009 | Claimant(s): Timothy Parker Claimant Lawyers(s): Timothy E Parker Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Cathy Gress Springer Arbitrator(s): Jerry M. Helfand Hearing Site: Minneapolis, MN
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09-02516 | 10/12/2009 | Claimant(s): Kenneth Cherrier Claimant Lawyers(s): Terrence J. Fleming Respondent(s): Woodbury Financial Services. Respondent Lawyers(s): Irene E. Bassock Arbitrator(s): James A. Lundberg, Loyall E. Wilson, Donald Ray McNeil Hearing Site: Minneapolis, MN
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