| 07-02912 | 06/25/2010 | Claimant(s): Keith Steidle, Michael Astashkevich, Roderick Norman
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Granite Securities, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis
Arbitrator(s): Walter A. Kapuscinski, David L. Becker, Philip W Gaffney
Hearing Site: Newark, NJ
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| 09-00266 | 06/25/2010 | Claimant(s): Empire Financial Group.
Claimant Lawyers(s): Todd A. Zuckerbrod
Respondent(s): Phil Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Henry Hermann, Richard A Miller, Darrell G. Compton
Hearing Site: Dallas, TX
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| 09-04566 | 06/25/2010 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Burlington
Respondent(s): Bruce Katz
Respondent Lawyers(s): Bruce Benjamin Katz
Arbitrator(s): Melvyn L. Klusky, Cheryl Feldman, Jean C. Black
Hearing Site: New York, NY
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| 10-00588 | 06/25/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Thomas Boan
Respondent Lawyers(s): Thomas M. Boan
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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| 08-00873 | 06/24/2010 | Claimant(s): Zain Abdullah
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Howard Breindel, Mark Mendley, Mark J. Happe
Hearing Site: New York, NY
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| 09-03629 | 06/24/2010 | Claimant(s): Lloyd Dotson, Robert Wood
Claimant Lawyers(s): Richard Slavin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi
Arbitrator(s): Denzil J. Klippel, David A. Schwarz, Gerald L. Fingerhut
Hearing Site: New York, NY
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| 09-07045 | 06/24/2010 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): David Stern
Respondent Lawyers(s): David C. Stern
Arbitrator(s): William I. Carmen
Hearing Site: Providence, RI
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| 08-03679 | 06/23/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Edward Harris
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): David Maurer, Daniel R. Brush, James M. Goldberg
Hearing Site: Los Angeles, CA
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| 08-03835 | 06/23/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Jason R. Lindsay
Respondent(s): Malcolm Taaffe
Respondent Lawyers(s): Malcolm F. Taaffe
Arbitrator(s): Daniel B. Daugherty, Marshall Felton Wright, John William Bowman
Hearing Site: Tampa, FL
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| 09-01715 | 06/23/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Joe Cantu
Respondent Lawyers(s): Joe M. Cantu
Arbitrator(s): Peter J. Lavezzoli, Thomas L. Curran, Donald R. McGahan
Hearing Site: Ft. Lauderdale, FL
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