| 08-04607 | 05/28/2010 | Claimant(s): Peter Kuper
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Morgan Stanley & Co., Stephen Penwell
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Nelson P. Lovins, Stephen Z. Frank, Lee McHarg Holland
Hearing Site: Boston, MA
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| 09-05062 | 05/26/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kirk Barrett
Respondent Lawyers(s): Kirk Christopher Barrett
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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| 09-04891 | 03/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Edward O'Connor
Respondent Lawyers(s): Edward Thomas O'Connor
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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| 08-02086 | 07/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Peter Dolan
Respondent Lawyers(s): Robert A. Boncore
Arbitrator(s): Dallas Whitney Coffman, Stephen Z. Frank, John Joseph Cotter
Hearing Site: Boston, MA
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| 07-00701 | 08/13/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Michael L. Chinitz
Respondent(s): Gabriel Defeo, Karen Ellis, Louis Garofano, Martin Courage
Respondent Lawyers(s): Catherine A. Sammartino, Todd M. Reed
Arbitrator(s): Stephen Z. Frank, Robert V. Deiana, Evalyn Lipton Fishbein
Hearing Site: Providence, RI
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| 07-02186 | 05/22/2008 | Claimant(s): Robert Kelliher
Claimant Lawyers(s): Robert F. Kelliher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew H. Smith
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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| 06-04487 | 08/10/2007 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Jeffrey D. Hedlund
Respondent(s): David Bellinger
Respondent Lawyers(s): Jeffrey R. Martin
Arbitrator(s): William S. Tagerman, Stephen Z. Frank, Susan Lauder Stewart
Hearing Site: Boston, MA
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