| 09-03582 | 01/18/2011 | Claimant(s): Jason Schall
Claimant Lawyers(s): Mitchell Willoughby
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Menendez
Arbitrator(s): Glenn R. Oxner, Patricia Ann Tracey, Walter J. Wylie
Hearing Site: Columbia, SC
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| 10-00553 | 12/03/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Harrison Blackwell
Respondent Lawyers(s): Harrison Blackwell
Arbitrator(s): Hugh J. Moore
Hearing Site: Columbia, SC
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| 09-03557 | 10/14/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Callander
Respondent Lawyers(s): Wendy L. Wilkie
Arbitrator(s): Harold G. Koger
Hearing Site: Columbia, SC
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| 09-04768 | 07/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Clifford Carnes
Respondent Lawyers(s): Clifford K. Carnes
Arbitrator(s): Antoinette C. Robbins
Hearing Site: Columbia, SC
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| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
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| 07-00817 | 08/20/2007 | Claimant(s): Citigroup Global Markets., Citigroup Global Markets Holdings.
Claimant Lawyers(s): Gregory R. Crochet
Respondent(s): William Evans
Respondent Lawyers(s): William Dexter Evans
Arbitrator(s): Barbara Marie Bantivoglio
Hearing Site: Columbia, SC
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