08-03610 | 03/02/2010 | Claimant(s): Lipper Convertibles, L.P. by Richard Wil, Lipper Fixed Income Fund, L.P. by Richar Claimant Lawyers(s): Thomas A. Dubbs Respondent(s): Kenneth Lipper Respondent Lawyers(s): Catherine i M. Foti Arbitrator(s): Hearing Site: New York, NY
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09-03896 | 03/02/2010 | Claimant(s): Bradley Mccord, Tracy Turner Claimant Lawyers(s): Tracy Turner Respondent(s): Capwest Securities. Respondent Lawyers(s): H. Thomas Fehn Arbitrator(s): Guenter S. Cohn Hearing Site: San Diego, CA
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06-05227 | 03/01/2010 | Claimant(s): Sagepoint Financial. Claimant Lawyers(s): Diana McMonagle Respondent(s): Tracy Seegott Respondent Lawyers(s): Tracy B. Seegott Arbitrator(s): Frederick B. Mueller Hearing Site: Phoenix, AZ
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08-00479 | 03/01/2010 | Claimant(s): Grand Avenue Capital Partners, Grand Avenue Capital Claimant Lawyers(s): Stephen Scott Talt Respondent(s): Michael Marevich, Nick Liang, Thomas Korzenecki, Etech Securities. Respondent Lawyers(s): Stephen Scott Talt, Tony D. Chen Arbitrator(s): Robert J. Ruben, Basil Lewis, Esther A. Spachner Hearing Site: Los Angeles, CA
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09-00882 | 03/01/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Catania Facher Respondent(s): Daniel Henrichs Respondent Lawyers(s): Susan K. Roach Arbitrator(s): Gerald Cohen, Sean Patrick Abernathy, David B. Lacks Hearing Site: St. Louis, MO
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09-01983 | 03/01/2010 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Brady J. Hermann Respondent(s): David Gaeckler Respondent Lawyers(s): James G. Marsh Arbitrator(s): David N. Brainin, Boyd H. Scheff, William E.S. Browning Hearing Site: New York, NY
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09-03604 | 03/01/2010 | Claimant(s): Wachovia Securities Financial Network Claimant Lawyers(s): Gregory S. Tendrich Respondent(s): Jamie Dick Respondent Lawyers(s): Jamie Lydell Dick Arbitrator(s): James W. Warren Hearing Site: Las Vegas, NV
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09-03843 | 03/01/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Michael Jacob Ewart Respondent(s): Desiree Lu Respondent Lawyers(s): Desiree H. Lu Arbitrator(s): Jeffrey E. Skogsbergh Hearing Site: Los Angeles, CA
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07-02162 | 02/26/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Christopher J. Carney Respondent(s): Robert Miller, Thipp Ratsaboutseua Respondent Lawyers(s): Robert D. Miller, Thipp Ratsaboutseua Arbitrator(s): Anthony J. Soukenik, Bruce S. Feldacker, Jesse David Hill Hearing Site: St. Louis, MO
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09-00260 | 02/26/2010 | Claimant(s): Timothy Leahy Claimant Lawyers(s): Melanie S. Cherdack Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): John S. Lord Arbitrator(s): David P. Slater, Gary F. Lang, James John Mougey Hearing Site: Orlando, FL
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