| 09-02568 | 02/09/2010 | Claimant(s): Jatin Suryawanshi, Partha Sarkar, Sanjay Girdhar
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): UBS Securities LLC, UBS AG
Respondent Lawyers(s): Claire L. Huene
Arbitrator(s): Vicki Z. Holleman, Dorothy E. Morris, Gerald Guttman
Hearing Site: New York, NY
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| 09-03520 | 02/09/2010 | Claimant(s): Jill Clark
Claimant Lawyers(s): Jill Eileen Clark
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Romaine L. Gardner
Hearing Site: New York, NY
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| 08-04169 | 02/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kevin Walker
Respondent(s): Kenneth Ross, Lloyd Laughlin, Timothy Miller
Respondent Lawyers(s): Brian J. Sommer, Kevin Walker
Arbitrator(s): Kathleen A. Hanula, Harvey Michael Rosenberg, John P. Abriola
Hearing Site: Pittsburgh, PA
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| 08-04342 | 02/05/2010 | Claimant(s): Dean Bordelon
Claimant Lawyers(s): Bryan Forman
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Mark A. Myers, Charles K Reasonover, Richard J. Clement
Hearing Site: New Orleans, LA
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| 09-03092 | 02/05/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Mandeville
Respondent Lawyers(s): Robert Lee Mandeville
Arbitrator(s): Philip W. Burge, Jeffrey E. Skogsbergh, Gerald C. Tambe
Hearing Site: Los Angeles, CA
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| 08-03304 | 02/04/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Sandra David Siller
Respondent Lawyers(s): Sandra A. David Siller
Arbitrator(s): Thomas L. Curran, Morton D. Siegel, Dale W. Oliver
Hearing Site: Ft. Lauderdale, FL
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| 09-00868 | 02/04/2010 | Claimant(s): Robert Klein
Claimant Lawyers(s): John F. Hanzel
Respondent(s): TIAA-CREF
Respondent Lawyers(s): Felicia Washington
Arbitrator(s): Thomas W. Steed
Hearing Site: Charlotte, NC
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| 09-01306 | 02/04/2010 | Claimant(s): Theodore Jung
Claimant Lawyers(s): Wray H. Kondo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Peter H. Daly, Walter H. Ikeda, Charles Eugene Markley
Hearing Site: Honolulu, HI
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| 09-01788 | 02/04/2010 | Claimant(s): Todd Silbergeld
Claimant Lawyers(s): Todd F. Silbergeld
Respondent(s): Brean Murray, Carret & Co., Llc.
Respondent Lawyers(s): Jason Canales
Arbitrator(s): Theodor Brown
Hearing Site: New York, NY
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| 09-01970 | 02/04/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Adam Wachtel
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Susan C. Lushing, Martin L. Feinberg, J. Scott Colesanti
Hearing Site: New York, NY
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