09-05188 | 04/08/2010 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward Walton Respondent(s): Jeffery Westerman Respondent Lawyers(s): Jeffery Luke Westerman Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford Hearing Site: Columbus, OH
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09-05258 | 04/08/2010 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): David Moore Respondent Lawyers(s): David N. Moore Arbitrator(s): W. Pat Conners, Thomas J. McAllister, Erwin John Dugasz Hearing Site: Columbus, OH
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09-06009 | 04/08/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jeffrey F. Manzella Respondent(s): Respondent Lawyers(s): Arbitrator(s): Susan B. Gans-Smith Hearing Site: Los Angeles, CA
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07-00478 | 04/07/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Michael Jake Ewart Respondent(s): Jodie Cohen, Nathan Lorbietzki, Robert Barron Respondent Lawyers(s): L. Christopher Rose, Michael Jake Ewart Arbitrator(s): Alan J. Duncan, William E. Winfield, David L. Moran Hearing Site: Las Vegas, NV
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08-00303 | 04/07/2010 | Claimant(s): Hansueli Overturf Claimant Lawyers(s): Timothy A Canning Respondent(s): Morgan Stanley DW Inc. Respondent Lawyers(s): Debra V. Achkire Arbitrator(s): Helen Marinak Blohm, Ralph A. Cotton, Osei J Adoma Hearing Site: San Francisco, CA
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08-01232 | 04/07/2010 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Thomas Hicks III Respondent Lawyers(s): Thomas G. Hicks Arbitrator(s): Victor B. Taube, Barry A. Mainardi, Vincy S. Stringham Hearing Site: Salt Lake City, UT
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08-02012 | 04/07/2010 | Claimant(s): Alva Thaning Claimant Lawyers(s): James C. Bridgman Respondent(s): UBS Financial Services Inc., UBS/Paine Webber, UBS/Paine Webber Partner's Plus Respondent Lawyers(s): Walter M. Stella Arbitrator(s): Herb Schwartz, Paul D. Gutierrez, M. Scott Donahey Hearing Site: San Francisco, CA
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08-02032 | 04/07/2010 | Claimant(s): Investment Professionals. Claimant Lawyers(s): Christopher H. Tovar Respondent(s): Kevin Mathis Respondent Lawyers(s): Kevin Mathis Arbitrator(s): John Michael Watson, Daniel J. Pagnano, Juanita D. McKethan Hearing Site: Houston, TX
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07-02962 | 04/06/2010 | Claimant(s): Thomas Devere Claimant Lawyers(s): Adam Palmer Respondent(s): Peter McMullin, Robert Wasserman, Stephen Degroat, Empire Financial Group., Jesup & Lamont Securities Corp. Respondent Lawyers(s): Todd A. Zuckerbrod Arbitrator(s): Stan West, Karen Z. Fischer, Alvin Abraham Simon Hearing Site: Boca Raton, FL
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08-03813 | 04/06/2010 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): James J. McNamara Respondent(s): Brian Prost Respondent Lawyers(s): Brian E. Prost Arbitrator(s): Bernard S. Carrey, Oscar W. Carlson, Duncan H. Cameron Hearing Site: Tampa, FL
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