| 10-01687 | 07/29/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Jeffrey I Kohn
Respondent(s): Morgan Stanley & Co., Mark Mensack, Peter Prunty, Richard Maratea
Respondent Lawyers(s): James C Shah, Jeffrey I Kohn
Arbitrator(s): E. William Pastor, David B. Harwi, Michael J. Garry
Hearing Site: Philadelphia, PA
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| 10-02871 | 07/06/2011 | Claimant(s): Greg Kipple
Claimant Lawyers(s): Todd Gutfleisch
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Alan J. Blocher, Ronald P. Wertheim, Jason Thomas Laird
Hearing Site: Philadelphia, PA
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| 10-05352 | 06/23/2011 | Claimant(s): Clyde Mason
Claimant Lawyers(s): Clyde Alfonso Mason
Respondent(s): Doley Securities.
Respondent Lawyers(s): Robert V. Cornish
Arbitrator(s): Gordon M. Wase
Hearing Site: Philadelphia, PA
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| 11-00202 | 06/01/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Nicki Samson
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
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| 10-05005 | 05/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Richard Coale
Respondent Lawyers(s): Richard L. Coale
Arbitrator(s): Marilyn J. Salzman
Hearing Site: Philadelphia, PA
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| 10-01020 | 05/10/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Robert Durham, William Cashman
Respondent Lawyers(s): Jacqueline Jackson-DeGarcia, Jason G. Benion
Arbitrator(s): Paul J. Greco, James T. McLaughlin, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 10-03486 | 05/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Robert Connell
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Edward F. Koren, Joseph J. Dougherty, Aaron David Fray
Hearing Site: Philadelphia, PA
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| 09-06101 | 04/28/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): John Downs
Respondent Lawyers(s): William S. Wolfson
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
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| 09-00257 | 02/11/2011 | Claimant(s): Pasquale Didonato, D -Trade., D Trade, L.P., DSX., Solaris Alternative Capital Fund II, L.P, Solaris Alternative Capital Fund, Solaris Alternative Capital Partners, Solaris Asset Management Group LLC, Solaris Capital Market, Solaris Liquidation, L.L.C.
Claimant Lawyers(s): Aaron Krauss
Respondent(s): Est. of Ralph P. DiDonato by Margaret Ad
Respondent Lawyers(s): Eric C. Milby
Arbitrator(s): John James McGovern, Ethan L. Lewis, Catherine S. Kopley
Hearing Site: Philadelphia, PA
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| 10-04015 | 01/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): August "Jamie" H. Schupp
Respondent(s): Peter Jelstrom
Respondent Lawyers(s): Peter Lindsay Jelstrom
Arbitrator(s): Steven T. Stern
Hearing Site: Philadelphia, PA
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