| 09-05646 | 03/18/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Daniel Ashby
Respondent Lawyers(s): Daniel Peter Ashby
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 09-01221 | 03/17/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): James Phillips
Respondent Lawyers(s): Richard Sacks
Arbitrator(s): Donald S. Simons, W. Alex King, Anna Marie Turco
Hearing Site: Los Angeles, CA
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| 09-05511 | 03/17/2010 | Claimant(s): Daniel Burbach
Claimant Lawyers(s): Daniel Burbach
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Katherine Forster
Arbitrator(s): Gerald F. Corrigan
Hearing Site: Los Angeles, CA
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| 09-00064 | 03/16/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Widener
Respondent Lawyers(s): Thomas S. Widener
Arbitrator(s): Bert S Cliff, Scott H Litwin, John R. Michael
Hearing Site: Cincinnati, OH
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| 09-01641 | 03/16/2010 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Steven H. Thomas
Respondent(s): Jesup & Lamont Securities Corp
Respondent Lawyers(s): Todd A. Zuckerbrod
Arbitrator(s): R. Theodore Moock, Robert R. Nursey, Robert E. Behrendt
Hearing Site: Dallas, TX
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| 07-00469 | 03/15/2010 | Claimant(s): Robert Rose
Claimant Lawyers(s): Philip D. Dapeer
Respondent(s): John Barnes, Sanah Chung
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Robert Bruce MacDonald, Kirtley M. Thiesmeyer, Kendall C. Reed
Hearing Site: Los Angeles, CA
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| 08-02210 | 03/15/2010 | Claimant(s): Andrew McConnell
Claimant Lawyers(s): Michael Schwartzberg
Respondent(s): BNP Paribas Securities Corp.
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): Joel P. Mellis, Harry T. Walters, Christine Moore
Hearing Site: New York, NY
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| 08-04862 | 03/15/2010 | Claimant(s): Jeremy Koch
Claimant Lawyers(s): James P. Baker
Respondent(s): Natcity Investments.
Respondent Lawyers(s): Ivan Novich
Arbitrator(s): Enrico A. Mazzoli, Robert David Epstein, Burril A. McIntyre
Hearing Site: Indianapolis, IN
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| 09-04395 | 03/15/2010 | Claimant(s): Douglas Cummins
Claimant Lawyers(s): Alan L. Sklover
Respondent(s): Israel A. Englander & Co..
Respondent Lawyers(s): David A. Gehn
Arbitrator(s): Judith E. Gross, Carolyn J. Mastropieri, Irene C. Warshauer
Hearing Site: New York, NY
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| 09-02749 | 03/12/2010 | Claimant(s): Michael Banayan
Claimant Lawyers(s): Leonard Steiner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timm A. VerDuin
Arbitrator(s): Roberta Haft, Elizabeth A. Copley, Barton J. Brewer
Hearing Site: Los Angeles, CA
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