| 09-02476 | 04/06/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): David Frand
Respondent Lawyers(s): David N. Frand
Arbitrator(s): Theodore Kimelman
Hearing Site: Boca Raton, FL
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| 09-04157 | 04/06/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Thomas Doyle Blum
Hearing Site: Charlotte, NC
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| 08-00835 | 04/01/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Mathew Dailey
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bonny Kathleen Riggs, Michael J. Busch, Laurie E. Law
Hearing Site: Seattle, WA
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| 08-03491 | 04/01/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): David Lee
Respondent(s): Bart Ellis
Respondent Lawyers(s): Michael E. Lavelle
Arbitrator(s): Jeffrey W. Finke, Elizabeth C. Burton, Elayne Morgan
Hearing Site: Chicago, IL
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| 09-02567 | 04/01/2010 | Claimant(s): Eric May
Claimant Lawyers(s): Robert A. Scher
Respondent(s): Sandgrain Securities.
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Edward Buscemi
Hearing Site: New York, NY
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| 08-03070 | 03/31/2010 | Claimant(s): Steven Esposito
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Erin E. Mac Avoy
Arbitrator(s): Theodore L. Leeb, Epaminondas Eddie Manelis, John C. Bierbusse
Hearing Site: Chicago, IL
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| 09-02129 | 03/31/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Michael Napolitano
Respondent Lawyers(s): J. Christopher Albanese
Arbitrator(s): Roger J. Hawke, Frank Irizarry, W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 09-03343 | 03/31/2010 | Claimant(s): Lauren Stauffer
Claimant Lawyers(s): Jeffrey S. Kruske
Respondent(s): Legend Equities Corporation
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Donald B. Clark, Sharon Lee McKinney, Steven Joseph Streen
Hearing Site: Kansas City, MO
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| 09-03378 | 03/31/2010 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Jeffrey Shepro
Respondent(s): Weatherly Securities Corporation
Respondent Lawyers(s): Maria Porcelli
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
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| 09-01995 | 03/30/2010 | Claimant(s): Karen Hankinson
Claimant Lawyers(s): Karen R. Hankinson
Respondent(s): Kathleen Mcpherson, Kenneth Brown, Russell Riccobono, Scott Brooks, Stanley Brooks, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald E. Hemke, H. Thomas Fehn, Kathleen Margaret McPherson, Russell Robert Riccobono, Steve Skytte
Arbitrator(s): Thomas H. McAvoy, Michael D. Hamilton, Laurent Taylor
Hearing Site: Tampa, FL
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