| 08-02931 | 04/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Rumy Lopez
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): David Maurer, Carol Jeanne Medof, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
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| 09-06184 | 04/27/2010 | Claimant(s): Andrew Garrett Inc.
Claimant Lawyers(s): Revan R. Schwartz
Respondent(s): David Polifroni
Respondent Lawyers(s): David W. Polifroni
Arbitrator(s): Mary Ellen Burns
Hearing Site: New York, NY
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| 08-03228 | 04/26/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): William Slonecker
Respondent Lawyers(s): William Gregory Slonecker
Arbitrator(s): John A. Davis, Michael A. McMahan, James A. McIntosh
Hearing Site: Nashville, TN
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| 09-03441 | 04/26/2010 | Claimant(s): Peter Lombard
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Jefferies & Company., Jefferies Group.
Respondent Lawyers(s): David Elsberg
Arbitrator(s): Howard I. Wilgoren, Jeffrey P. Petrucelly, Dennis R. Surprenant
Hearing Site: Boston, MA
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| 08-04881 | 04/23/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Scott Nicol
Respondent Lawyers(s): Mark T. Butler
Arbitrator(s): Larry C. Kreul, D. Michael Kratchman, Garrick A. Rollert
Hearing Site: Detroit, MI
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| 09-00408 | 04/23/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Julianne L. Peck
Respondent(s): Xin Li
Respondent Lawyers(s): Albert L. Boasberg
Arbitrator(s): John Patrick Kelly, John J. Fitzpatrick, James Conrad Riewerts
Hearing Site: San Francisco, CA
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| 09-00722 | 04/23/2010 | Claimant(s): White Pacific Securities.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Spartan Securities Group, LTD
Respondent Lawyers(s): Elizabeth Campbell
Arbitrator(s): Nicholas J. Caputo, Mary Curran, Peter Anthony Sigal
Hearing Site: San Francisco, CA
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| 09-01743 | 04/23/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Alan Corliss
Respondent Lawyers(s): Jeffrey K. Peck
Arbitrator(s): James J. Moylan
Hearing Site: Denver, CO
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| 08-00903 | 04/22/2010 | Claimant(s): Judith Zenowich
Claimant Lawyers(s): Pearl Zuchlewski
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Diane Getzler, C. Sidney Lester, Marilyn J. Salzman
Hearing Site: New York, NY
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| 09-04620 | 04/22/2010 | Claimant(s): Peter Schiff, Euro Pacific Capital.
Claimant Lawyers(s): Debra L. Fischer
Respondent(s): Charles Hanlon
Respondent Lawyers(s): Charles Patrick Hanlon
Arbitrator(s): Mario H. Metzger, Glen W. Hanne, Christopher William Shaw
Hearing Site: Los Angeles, CA
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