| 07-02333 | 02/11/2010 | Claimant(s): Aaron Leone
Claimant Lawyers(s): Jesper I. Rasmussen
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Douglas A. Wickham
Arbitrator(s): Daniel M. Yamshon, William A. Husa, Joseph M. O'Connor
Hearing Site: San Francisco, CA
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| 08-00852 | 02/11/2010 | Claimant(s): Multi-Financial Securities Corporation
Claimant Lawyers(s): Shannon L. McDougald
Respondent(s): Angel Chi, Banc Of America Securities LLC
Respondent Lawyers(s): Angel Chi, Robert J. Anello
Arbitrator(s): Dennis R. Frohlich, Bradford J. Lam, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
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| 08-03706 | 02/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory Simon
Respondent(s): Christopher Bunker
Respondent Lawyers(s): Christopher W. Bunker
Arbitrator(s): Donald E. Berryman, William R. Rafti, Carol Jeanne Medof
Hearing Site: Las Vegas, NV
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| 09-03806 | 02/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Richard Walker
Respondent Lawyers(s): Richard Cameron Walker
Arbitrator(s): Paul Frederick Meyer
Hearing Site: Los Angeles, CA
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| 09-04782 | 02/11/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Matthew Fitch
Respondent Lawyers(s): Matthew Daniel Fitch
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
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| 09-04892 | 02/11/2010 | Claimant(s): Xiqiang Li
Claimant Lawyers(s): Angelo D. Tartaro
Respondent(s): Pali Capital.
Respondent Lawyers(s): Mitchell Baruchowitz
Arbitrator(s): Martin Mushkin
Hearing Site: New York, NY
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| 09-05123 | 02/11/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey M. Csercsevits
Respondent(s): Jeffrey Whitaker
Respondent Lawyers(s): Jeffrey Lee Whitaker
Arbitrator(s): Thomas B. Corey
Hearing Site: Norfolk, VA
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| 08-03148 | 02/10/2010 | Claimant(s): Igor Zey
Claimant Lawyers(s): James Hubbard
Respondent(s): AXA Advisors
Respondent Lawyers(s): Kevin W. Alexander
Arbitrator(s): James P. Murphy, Laurent C. Vonderweidt, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 08-04976 | 02/09/2010 | Claimant(s): Albert LaCava
Claimant Lawyers(s): Albert V. LaCava
Respondent(s): Bruce Dyer, John Egan, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph S. Simms
Arbitrator(s): Robert G. Conway, Marc A. Winters, John T. Meredith
Hearing Site: Cleveland, OH
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| 09-01264 | 02/09/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Andrew Park
Respondent(s): Howard Walzer
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): G. Robert Abrams, Robert B. Kane, Suzanne E. Mowry
Hearing Site: Boca Raton, FL
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