| 10-04003 | 02/17/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Cody Hawkins-Fitzgerald
Respondent Lawyers(s): Cody D. Hawkins-Fitzgerald
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Orlando, FL
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| 10-01181 | 12/30/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): Christopher Hamilton
Respondent Lawyers(s): Christopher S. Hamilton
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Orlando, FL
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| 10-02285 | 12/07/2010 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Scott Mason
Respondent Lawyers(s): Scott David Mason
Arbitrator(s): Guy K. Stewart
Hearing Site: Orlando, FL
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| 10-02373 | 12/07/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Jonathan DeJulio
Respondent Lawyers(s): Jonathan DeJulio
Arbitrator(s): Guy K. Stewart
Hearing Site: Orlando, FL
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| 09-04380 | 12/02/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Fischetti
Respondent Lawyers(s): Allan P. Whitehead
Arbitrator(s): Paul Lilling, Gary F. Lang, Stuart S. Billington
Hearing Site: Orlando, FL
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| 09-02607 | 11/15/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Thomas Spartz
Respondent Lawyers(s): Thomas B. Spartz
Arbitrator(s): Linda Fairchild, Gary F. Lang, Elwood Henry Weilage
Hearing Site: Orlando, FL
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| 09-03048 | 10/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Christopher Squires
Respondent Lawyers(s): Christopher Michael Squires
Arbitrator(s): Linda Fairchild, Paul Lilling, Chester Barry White
Hearing Site: Orlando, FL
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| 09-05666 | 09/14/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Andrew Park
Respondent(s): David Moody
Respondent Lawyers(s): David W. Moody
Arbitrator(s): Cindy L. Anderson
Hearing Site: Orlando, FL
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| 09-01573 | 06/15/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Colleen M. Fitzgerald
Respondent(s): Paul Kotos
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Linda Fairchild, Paul Lilling, Dennis R. Nolte
Hearing Site: Orlando, FL
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| 09-03036 | 04/21/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): John Pascale
Respondent Lawyers(s): John Richard Pascale
Arbitrator(s): Ronald H. Walton
Hearing Site: Orlando, FL
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