08-02932 | 02/18/2010 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Edward A. Walton Respondent(s): James Patton Respondent Lawyers(s): Lisa Bond Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk Hearing Site: Los Angeles, CA
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08-04560 | 02/18/2010 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Kevin Trizila Respondent Lawyers(s): Kevin M. Trizila Arbitrator(s): William E. Barker, Todd R. Gough, Karen J. Zvonecek Hearing Site: Dallas, TX
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09-02848 | 02/18/2010 | Claimant(s): William Ortner Claimant Lawyers(s): Jonathan S. Shapiro Respondent(s): Barclays Capital Inc. Respondent Lawyers(s): Kevin B. Leblang Arbitrator(s): Michael G. Shannon, Linda R. Alpert, Kinchen C. Bizzell Hearing Site: New York, NY
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09-04061 | 02/18/2010 | Claimant(s): Joel Handorf Claimant Lawyers(s): Eric A. Michaels Respondent(s): Charles Luttjohann, Charles D. Luttjohann, IRRA Respondent Lawyers(s): Martin B. Greenbaum Arbitrator(s): Charles D. Underwood, Matthew Harold Fields Hearing Site: Columbus, OH
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06-04943 | 02/17/2010 | Claimant(s): Dann Neale, Kevin Cougle Claimant Lawyers(s): Kevin J. Mirch Respondent(s): HSBC Securities (USA) Inc. Respondent Lawyers(s): Brian J. Ellis Arbitrator(s): Richard D. Rosenbloom, Joan B. Alexander, Frederick N.C. Jerauld Hearing Site: Buffalo, NY
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08-04000 | 02/17/2010 | Claimant(s): Jerome Jamtel Claimant Lawyers(s): Andrew J. Melnick Respondent(s): Calyon Securities (USA) Inc. Respondent Lawyers(s): Barbara M. Roth Arbitrator(s): Edward G. Toptani, Carole L. Green, Judith P. Brooks Hearing Site: New York, NY
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08-04196 | 02/17/2010 | Claimant(s): SMH Capital. Claimant Lawyers(s): Andrew R. Harvin Respondent(s): Louis Berkowitz Respondent Lawyers(s): Jeffrey L. Cox Arbitrator(s): Kalman J. Lester, Gary Paul Whorton, Eugene D. Mirabello Hearing Site: Boca Raton, FL
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09-04898 | 02/17/2010 | Claimant(s): Newbridge Securities Corporation Claimant Lawyers(s): Michael S. Colombo Respondent(s): Bret Shofner Respondent Lawyers(s): Bret Nelson Shofner Arbitrator(s): Jeffrey C. Thompson Hearing Site: Boca Raton, FL
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08-04786 | 02/16/2010 | Claimant(s): Christopher Cohn, Laurens Rhinelander, Simon Lewis Claimant Lawyers(s): Erwin Shustak Respondent(s): UBS Securities LLC, UBS Financial Services Inc. Respondent Lawyers(s): Andrew J. Ceresney Arbitrator(s): Anatoly "Tony" Zuban, Deanna Margaret Veitia, Michael D. Briggs Hearing Site: San Diego, CA
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08-04292 | 02/12/2010 | Claimant(s): Tyler Smith Claimant Lawyers(s): Bradley Wm. Bowen Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Julia C. Webb Arbitrator(s): Jesse Stuart Shackelford, Joel T. Marker, John G. Manley Hearing Site: Salt Lake City, UT
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