| 10-01420 | 08/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Sherrey Harper
Respondent Lawyers(s): Sherrey A. Harper
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
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| 09-04033 | 07/14/2010 | Claimant(s): Scott Skinner
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Steve R. Neuman, Larry J. Sklar, Matthew G. Wylie
Hearing Site: Houston, TX
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| 10-00872 | 07/14/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Victor Bailey
Respondent Lawyers(s): Victor Bailey
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
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| 09-02596 | 07/12/2010 | Claimant(s): Tommy Sausley
Claimant Lawyers(s): Tommy N. Sausley
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Philip I. McConnell, Mark A. Myers, Michele N. O'Brien
Hearing Site: Houston, TX
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| 09-03513 | 06/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Littman
Respondent(s): Jason Cooney
Respondent Lawyers(s): Jason Cooney
Arbitrator(s): James R. Augustine, John Michael Watson, Nathan Levy
Hearing Site: Houston, TX
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| 09-04616 | 05/20/2010 | Claimant(s): Next Financial Group.
Claimant Lawyers(s): Owen P. McGill
Respondent(s): Jeremy Mcgilvrey
Respondent Lawyers(s): Jeremy McGilvrey - SID# 469949
Arbitrator(s): Gregory E. Muenster
Hearing Site: Houston, TX
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| 09-04483 | 05/17/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Arroyos
Respondent Lawyers(s): Michael D. Arroyos
Arbitrator(s): Eli Bensky
Hearing Site: Houston, TX
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| 08-02032 | 04/07/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Kevin Mathis
Respondent Lawyers(s): Kevin Mathis
Arbitrator(s): John Michael Watson, Daniel J. Pagnano, Juanita D. McKethan
Hearing Site: Houston, TX
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| 08-02766 | 03/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Porter
Respondent Lawyers(s): Jason A. Richardson
Arbitrator(s): Robert M. Birenbaum, William Edward Buck, Jeffrey R. Jury
Hearing Site: Houston, TX
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| 09-06178 | 02/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): David Raack
Respondent Lawyers(s): David Raack
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
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