09-03321 | 05/11/2010 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Michael W. Starr Respondent(s): Richard Lee Respondent Lawyers(s): Richard Lee Arbitrator(s): Norman L. Weiss, Marie Paulette Levine, Renaldy Jose Gutierrez Hearing Site: Miami, FL
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09-01713 | 05/10/2010 | Claimant(s): Mary Buchanan Claimant Lawyers(s): Mary Jo Buchanan Respondent(s): Leumi Investment Services. Respondent Lawyers(s): Michelle I Bougdanos Arbitrator(s): Kimberly A. Gilmour, Berthold T. Berkwich, Barry S. Shanbron Hearing Site: Boca Raton, FL
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07-02954 | 05/07/2010 | Claimant(s): A.G. Edwards & Sons. Claimant Lawyers(s): Jack Ballard Respondent(s): Wachovia Securities, Stifel, Nicolaus & Co.., Gene Diedrich, Michael Nielsen Respondent Lawyers(s): Andrew J. Shapren, Jack Ballard, Kenneth C. Mennemeier, Kristina L. Cashion Arbitrator(s): Helen Marinak Blohm, Mark R. Palmer, M. Scott Donahey Hearing Site: San Francisco, CA
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09-03050 | 05/07/2010 | Claimant(s): Shan Kumar Claimant Lawyers(s): William A. Linton Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Courtney R. Reid Arbitrator(s): Roy J. Moceri Hearing Site: Seattle, WA
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08-01652 | 05/06/2010 | Claimant(s): Mesirow Financial Holdings., Mesirow Financial Invesment Managment,, Mesirow Financial. Claimant Lawyers(s): Scott Vold Respondent(s): David Copeland, Neal Price, Strategic Wealth Partners Respondent Lawyers(s): Tiffany C. Woodie Arbitrator(s): Doris H. Geck, Richard J. Belmonte, Debra J. Tucker Hearing Site: Chicago, IL
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08-04982 | 05/04/2010 | Claimant(s): SMH Capital Inc. Claimant Lawyers(s): Peter B. Wells Respondent(s): Samuel Ruth Respondent Lawyers(s): Samuel Alan Ruth Arbitrator(s): Michele Y. Garelick, Alice J. Johnson, Donald M. Homer Hearing Site: Boca Raton, FL
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08-04983 | 05/04/2010 | Claimant(s): SMH Capital. Claimant Lawyers(s): Peter Wells Respondent(s): Jonathan Marcu Respondent Lawyers(s): Jonathan Ted Marcu Arbitrator(s): Peter J. Lavezzoli, Stephen L. Littauer, Jeffrey Lawrence Sarkin Hearing Site: Boca Raton, FL
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09-01532 | 05/03/2010 | Claimant(s): J.P. Morgan Securities, JP Morgan Chase and Company Claimant Lawyers(s): Murphy J. Foster Respondent(s): Wachovia Securities, James Poche, Kevin Knobloch, Shaun Burns Respondent Lawyers(s): Thomas K. Potter Arbitrator(s): C. Ellis Henican, David J. Schexnaydre, Richard J. Clement Hearing Site: New Orleans, LA
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09-02996 | 05/03/2010 | Claimant(s): Wedbush Morgan Securities Inc. Claimant Lawyers(s): Charles LaChaussee Respondent(s): Respondent Lawyers(s): Arbitrator(s): Samuel E. Wing Hearing Site: Denver, CO
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07-02734 | 04/30/2010 | Claimant(s): Jamila Arapovic Claimant Lawyers(s): Jamila Arapovic Respondent(s): Wells Fargo Investments, Wells Fargo, N.A. Respondent Lawyers(s): Dena Narbaitz Arbitrator(s): Michael G. Clark, James P. Murphy, Cathleen M. Cobb Hearing Site: Los Angeles, CA
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