| 08-03444 | 09/23/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Bruce Trang, Morgan Stanley & Co.
Respondent Lawyers(s): Peter M. Vial, Thomas V. Dulcich
Arbitrator(s): Thomas D. Loftus, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
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| 08-00801 | 09/15/2009 | Claimant(s): National Alliance Capital
Claimant Lawyers(s): John F. Redwine
Respondent(s): Stephen Jencks
Respondent Lawyers(s): Stephen Jencks
Arbitrator(s): Peter G. Walker, Richard D. Brady, Kim D. Stephens
Hearing Site: Seattle, WA
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| 08-02191 | 01/27/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jennifer Johnston
Respondent Lawyers(s): Jennifer S. Johnston
Arbitrator(s): Mary Curran
Hearing Site: Seattle, WA
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| 07-01395 | 12/19/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Thomas
Respondent Lawyers(s): John A. Bender
Arbitrator(s): Michael R. Scott, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
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| 07-02417 | 09/11/2008 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Bruce Myers
Respondent Lawyers(s): Bruce W. Myers
Arbitrator(s): William A. Husa, Charles M. Ackerman, Alan Reginald Doe
Hearing Site: Seattle, WA
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| 06-03042 | 10/03/2007 | Claimant(s): Kenneth Merwin
Claimant Lawyers(s): Kenneth Jeffrey Merwin
Respondent(s): Dennis Breitenstein
Respondent Lawyers(s): Dennis Lee Breitenstein
Arbitrator(s): James M. Shaker, Judith A. Cochrane, Lisa E. Schuchman
Hearing Site: Seattle, WA
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| 06-03507 | 08/14/2007 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Steve Satter
Respondent(s): Brian Knotts, Robert Hyer
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Joan Helen Lukasik, Jerome O. Cohen, Ronald E. Lorentsen
Hearing Site: Seattle, WA
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| 06-03508 | 08/14/2007 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Steve Satter
Respondent(s): Robert Hyer
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s):
Hearing Site: Seattle, WA
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