| 09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Steven Pompan
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
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| 08-02896 | 06/21/2010 | Claimant(s): John Arnold, Michael Johnston, Michael Mittman
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Mark A. Levy, Bruce A. Davidson, Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 09-05792 | 06/21/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Yeilding
Respondent Lawyers(s): Frank A. Yeilding
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 09-02635 | 06/18/2010 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Thomas B. Kinzler
Respondent(s): Citigroup Global Markets., Citigroup Global Markets, Ltd.
Respondent Lawyers(s): Susan J. Steinthal
Arbitrator(s): Richard S. Peskin, William C. Struyk, Richard J. McLynn
Hearing Site: New York, NY
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| 09-02967 | 06/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael J. Fortunato
Respondent(s): Robert Pippenger
Respondent Lawyers(s): Michael A. Anderson
Arbitrator(s): Chandler R Bridges, George S. Willingham, Robert A. Dean
Hearing Site: Atlanta, GA
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| 09-03055 | 06/18/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Joseph Ortega
Respondent Lawyers(s): Joseph Carlo Ortega
Arbitrator(s): Alexander L. Mazour
Hearing Site: San Francisco, CA
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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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| 10-01071 | 06/18/2010 | Claimant(s): Diana Ricketti
Claimant Lawyers(s): Sheree Donath
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Mary Costa
Arbitrator(s): Harvey Barrison
Hearing Site: New York, NY
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| 09-03477 | 06/17/2010 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Martin S. Chester
Respondent(s): Michael Dagnan
Respondent Lawyers(s): Michael Asher Dagnan
Arbitrator(s): Ronald G. Johnson
Hearing Site: Dallas, TX
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| 09-06718 | 06/16/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Robert Lenihan
Respondent Lawyers(s): Robert Joseph Lenihan
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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