| 10-01047 | 03/30/2010 | Claimant(s): BB&T Investment Services.
Claimant Lawyers(s): T.Jonathan Adams
Respondent(s): Wells Fargo Advisors, Gray Daus
Respondent Lawyers(s): David W. Erb
Arbitrator(s): Robert S. Zuckerman, Robert A. Ames, Celeste A. Beron
Hearing Site: Charlotte, NC
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| 09-00047 | 03/29/2010 | Claimant(s): S. L. Reed & Company, Windward Capital Management Co.
Claimant Lawyers(s): Daniel K. Dik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Blaine Smith, J. Jean Elliott, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
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| 09-03280 | 03/29/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Treanor
Respondent Lawyers(s): John Vincent Treanor
Arbitrator(s): Michael P. Golden, Paul K. Barenholtz, Sam P. Terner
Hearing Site: New York, NY
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| 09-05367 | 03/29/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): David L. Hoffberg
Hearing Site: Buffalo, NY
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| 07-00610 | 03/26/2010 | Claimant(s): Ladi Adebonojo
Claimant Lawyers(s): Richard V. Kanter
Respondent(s): SBK-Brooks Investment Corp.
Respondent Lawyers(s): Dexter B. Johnson
Arbitrator(s): Stephen J. Storen
Hearing Site: New York, NY
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| 08-04008 | 03/26/2010 | Claimant(s): Darren Meyer
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward Magarian
Arbitrator(s): S. Lee Terry, Devra Ann Perch, Bradford J. Lam
Hearing Site: Denver, CO
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| 09-02569 | 03/26/2010 | Claimant(s): Chicago Investment Group
Claimant Lawyers(s): Howard J. Rosenburg
Respondent(s): Joseph Galbo
Respondent Lawyers(s): Steven M. Selz
Arbitrator(s): Guy K. Stewart
Hearing Site: Boca Raton, FL
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| 09-05067 | 03/26/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew Park
Respondent(s): Joseph Tiriolo
Respondent Lawyers(s): Joseph Patrick Tiriolo
Arbitrator(s): Francis J. Pavetti
Hearing Site: Hartford, CT
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| 07-02318 | 03/25/2010 | Claimant(s): William Erickson
Claimant Lawyers(s): Daniel O. Stamm
Respondent(s): Joe Woods
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): J. A. Dutcher, Richard G. Link, Steven A. Fox
Hearing Site: San Diego, CA
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| 09-02152 | 03/25/2010 | Claimant(s): Gordon Stamper
Claimant Lawyers(s): Gordon D. Stamper
Respondent(s): MML Investors Services.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): James Francis Donovan, Robert N. Kohn, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
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