| 06-02954 | 03/24/2010 | Claimant(s): Cantor Fitzgerald Securities
Claimant Lawyers(s): Francis X. Riley
Respondent(s): Refco Securities
Respondent Lawyers(s): Arthur H. Ruegger
Arbitrator(s): Thomas E. Duggan, Daniel B. Berkson, Lois M. Goldstein
Hearing Site: New York, NY
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| 08-04211 | 03/24/2010 | Claimant(s): Claudia Srour
Claimant Lawyers(s): James C. Jones
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth I. Schacter
Arbitrator(s): Joel P. Mellis, Michael S. Lazan, Howard L. Haykin
Hearing Site: New York, NY
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| 09-01656 | 03/24/2010 | Claimant(s): Susquehanna Securities
Claimant Lawyers(s): M. Norman Goldberger
Respondent(s): Citadel Derivatives Group LLC
Respondent Lawyers(s): Andrew N. Vollmer
Arbitrator(s): Allen B. Lang, Andrew W. Davitt, Court O. Anderson
Hearing Site: Philadelphia, PA
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| 09-02480 | 03/24/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Bradley Sustrin
Respondent Lawyers(s): Bradley A. Sustrin
Arbitrator(s): Raymond W. Snow
Hearing Site: Boca Raton, FL
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| 09-05199 | 03/24/2010 | Claimant(s): Rohinton Bulsara
Claimant Lawyers(s): Rohinton B. Bulsara
Respondent(s): First Asian Securities Corporation
Respondent Lawyers(s): Venketachalam Parameswaran
Arbitrator(s): Mary Ellen Burns
Hearing Site: New York, NY
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| 08-04191 | 03/23/2010 | Claimant(s): David Pichler
Claimant Lawyers(s): Leonard B. Pack
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Katrina L. Baker
Arbitrator(s): Diane Getzler, Catherine Ladnier, Alejandro Miguel Garro
Hearing Site: New York, NY
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| 08-04609 | 03/23/2010 | Claimant(s): Jan Carr
Claimant Lawyers(s): Anthony B. Haller
Respondent(s): Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Elliot B. Platt, John L. Braxton, Howard B. Scherer
Hearing Site: Philadelphia, PA
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| 09-00389 | 03/22/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): Jacqueline Prue, Sherman Wang
Respondent Lawyers(s): Jacqueline Smith Prue, Sherman William Wang
Arbitrator(s): Edith M. Gunn, Ellen Slipp, Jerry M. Greenspan
Hearing Site: New York, NY
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| 08-02776 | 03/19/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Andrew Kistler, Brian Ainge, Charles Chambers
Respondent Lawyers(s): Edward Walton, Jody A. Rosen
Arbitrator(s): Caryl S. Bernstein, Baunita M. Greer, Karen L. Crump-Wilson
Hearing Site: Washington, DC
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| 08-04325 | 03/18/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scotte Carter
Respondent Lawyers(s): Melanie C. Ross
Arbitrator(s): Larry Edmonson, Annette Gres Shepherd, Russell T. Doe
Hearing Site: Los Angeles, CA
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