| 08-02766 | 03/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Porter
Respondent Lawyers(s): Jason A. Richardson
Arbitrator(s): Robert M. Birenbaum, William Edward Buck, Jeffrey R. Jury
Hearing Site: Houston, TX
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| 09-04746 | 03/08/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): John Heil
Respondent Lawyers(s): John H. Heil
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 09-05366 | 03/08/2010 | Claimant(s): Howard Braff
Claimant Lawyers(s): Howard Braff
Respondent(s): Peter Downey
Respondent Lawyers(s): Peter David Downey
Arbitrator(s): Fern Sue Reidman
Hearing Site: New York, NY
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| 08-02601 | 03/05/2010 | Claimant(s): Piper Jaffray & Co.
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Christopher Peterson, Cole Ryba, David Holden, Stifel, Nicolaus & Co.., John Kuny, John Pinto, Lindsay Paine, Michael Loop, Michael Pellicci, Neil Koepcke, Stephen Tufo, Zigmund Peret
Respondent Lawyers(s): Richard Kuhlman
Arbitrator(s): Judith A. Rogosheske, Jack D. Elmquist, Edward C. Oliver
Hearing Site: Minneapolis, MN
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| 08-03302 | 03/05/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Richard Riccio
Respondent Lawyers(s): Richard J. Riccio
Arbitrator(s): Burton M. Fendelman, Linda S. Cole, W. Jeffrey Weinlandt
Hearing Site: New York, NY
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| 08-03749 | 03/05/2010 | Claimant(s): Gilbert Millstein
Claimant Lawyers(s): Michael A. Korn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Romaine L. Gardner, Arnold Wagner, Tibor C. Klein
Hearing Site: New York, NY
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| 09-02187 | 03/05/2010 | Claimant(s): Douglas Vander Weide
Claimant Lawyers(s): Michael A. Dee
Respondent(s): David Jesse, Richard Keeling, Robin Marshall
Respondent Lawyers(s): John D. Hintze
Arbitrator(s): Charles F. Custer, Richard L. Mitchell, Verne R. Gray
Hearing Site: Des Moines, IA
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| 09-00081 | 03/04/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Van Cleve
Respondent Lawyers(s): Charles M. Hamilton
Arbitrator(s): William E. Barker, Henry Hermann, Simeon R. Trotter
Hearing Site: Dallas, TX
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| 09-04830 | 03/03/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Charles Davey
Respondent Lawyers(s): Charles Lorne Davey
Arbitrator(s): Albert T. T. Cook
Hearing Site: Denver, CO
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| 07-03139 | 03/02/2010 | Claimant(s): Kenneth Lipper, Lipper & Company., Lipper & Company, L.P., Lipper Partners
Claimant Lawyers(s): Catherine M. Foti
Respondent(s): Lipper Convertibles, L.P. (Richard Willi, Lipper Fixed Income Fund, L.P. by Richar
Respondent Lawyers(s): Ronald D. Shindler, Thomas A. Dubbs
Arbitrator(s): Andrew D. Hudders, Robert Pincus, Alice J. P. Lee-Getman
Hearing Site: New York, NY
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