| 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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