| 09-04852 | 01/25/2012 | Claimant(s): Edward Bowne
Claimant Lawyers(s): Cathleen Scott
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Deborah A. Catalano
Arbitrator(s): Myron E. Levenson, Gary Paul Whorton, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 11-03219 | 01/18/2012 | Claimant(s): Thomas Moran
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): J. Burke McCormick
Arbitrator(s): Michael S. Hill
Hearing Site: Boca Raton, FL
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| 10-04533 | 01/13/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Daniel Derechin
Respondent(s): Mark Sullivan
Respondent Lawyers(s): Jeffrey C. Pepin
Arbitrator(s): Marilyn J. Salzman
Hearing Site: Boca Raton, FL
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| 10-03230 | 12/29/2011 | Claimant(s): Barbara Sanborn
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Marilyn G. Moran
Arbitrator(s): Gloria O. North, Mary H. Cory, Judith Ann Ripps
Hearing Site: Boca Raton, FL
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| 09-02852 | 12/12/2011 | Claimant(s): Mark Sidell
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): David M. Levine, Will Murphy, Barry Rabinowitz
Hearing Site: Boca Raton, FL
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| 10-02853 | 12/02/2011 | Claimant(s): Daniel Losito
Claimant Lawyers(s): Douglas A. Kahle
Respondent(s): Dennis Encapera, Felix Ajegbo, GoNow Securities.
Respondent Lawyers(s): Dennis Paul Encapera, Ephraim O. Obi
Arbitrator(s): George J. Blutstein, Richard J. Kaplan, Michael Edward Geringer
Hearing Site: Boca Raton, FL
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| 11-02283 | 11/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Humbert Michini
Respondent Lawyers(s): Humbert A. Michini
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
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| 10-03164 | 11/11/2011 | Claimant(s): William Johnson
Claimant Lawyers(s): William J. Johnson
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Joseph J. Slotnik, Marie G. Peterson, Laurence V. Senn
Hearing Site: Boca Raton, FL
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| 10-03737 | 11/07/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Ronald Shindler
Respondent(s): Jeffrey Seltzer, Ken Cerruto
Respondent Lawyers(s): Ronald Shindler, Russell L. Forkey
Arbitrator(s): Bruce K. Isenberg, Thomas R. Noonan, Paul J. Burkhart
Hearing Site: Boca Raton, FL
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| 10-05607 | 11/07/2011 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Matthew McGrath
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): Richard Charles Hotvedt
Hearing Site: Boca Raton, FL
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