| 10-00727 | 03/08/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): John Stearns
Respondent Lawyers(s): Donald M. Feferman
Arbitrator(s): David G. Beerbower, Jeff Kilgore, Maurice J. Fallas
Hearing Site: Houston, TX
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| 09-06020 | 03/07/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): William Livingston Coster
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Maxel (Bud) B. Silverberg, Juanita D. McKethan, Marjorie C. Johnson
Hearing Site: Houston, TX
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| 10-04201 | 03/02/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): James May
Respondent Lawyers(s): K.S. Gator Dunn
Arbitrator(s): Malcolm Edwin Whittaker
Hearing Site: Houston, TX
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| 09-04752 | 02/25/2011 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Joshua Freeman
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Dolores M Martin, Charles E. Munson, Frederick Randolph Box
Hearing Site: Houston, TX
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| 07-01043 | 02/09/2011 | Claimant(s): Jean Hughes
Claimant Lawyers(s): Hal K. Gillespie
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Katherine E. Flanagan
Arbitrator(s): Preston A. Trimble, Thomas A. Martin, Charles S. Chester
Hearing Site: Houston, TX
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| 09-05478 | 11/22/2010 | Claimant(s): Sean Cusak
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James G. Cooper, Reginald Harris Brockwell, Martin Samuel Altimore
Hearing Site: Houston, TX
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| 09-06300 | 11/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Amy M. Fritsky
Respondent(s): Oscar Penn
Respondent Lawyers(s): Oscar Penn
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Houston, TX
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| 09-00364 | 11/09/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Betsy Perryman, Matthew Marcom
Respondent Lawyers(s): Royal Lea
Arbitrator(s): Jerry C. Prestridge, Richard F. Dole, Charles A. Bankston
Hearing Site: Houston, TX
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| 09-03119 | 09/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. MacAvoy
Respondent(s): Andrea Smith
Respondent Lawyers(s): Steven C. Earl
Arbitrator(s): Eli Bensky, Joshua D. Wallach, Ross D. Friend
Hearing Site: Houston, TX
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| 09-03366 | 09/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Angela Roark
Respondent Lawyers(s): Angela M. Roark
Arbitrator(s): Bertrand C. Moser, Arno C. Schwethelm, Marjorie C. Johnson
Hearing Site: Houston, TX
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