| 09-04432 | 02/04/2010 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Jeffrey Winter
Respondent Lawyers(s): Jeffrey Martin Winter
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 09-04953 | 02/04/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Jacqueline Hanson-Shea
Respondent Lawyers(s): Jacqueline Lynn Hanson-Shea
Arbitrator(s): Daniel Herbert Margolis
Hearing Site: Washington, DC
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| 08-04450 | 02/02/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): D. Daxton White
Respondent(s): Derek Difani
Respondent Lawyers(s): Derek J. Difani
Arbitrator(s): William Montgomery
Hearing Site: Los Angeles, CA
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| 09-00298 | 02/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Jason Kraskiewicz
Respondent Lawyers(s): Jason N. Kraskiewicz
Arbitrator(s): Bruce M. Alster
Hearing Site: Ft. Lauderdale, FL
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| 09-04794 | 02/02/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Joseph Dorrycott
Respondent Lawyers(s): Joseph M. Dorrycott
Arbitrator(s): Bert S Cliff
Hearing Site: Pittsburgh, PA
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| 09-04841 | 02/02/2010 | Claimant(s): Variable Investment Advisors.
Claimant Lawyers(s): Gregory S. Wilson
Respondent(s): Cynthia Stevens-Montgomery
Respondent Lawyers(s): Cynthia Marie Stevens-Montgomery
Arbitrator(s): John W. MacKimm
Hearing Site: Rapid City, SD
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| 07-03166 | 02/01/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brody Weichbrodt
Respondent(s): Donald Minton, Martin Smith, Raymond, James & Associates., Stephen Merrick, Theodore Sturges
Respondent Lawyers(s): Caitlin M. Piccarello, John F. Stoviak
Arbitrator(s): Sharon R. Merriman, Terresa L. Beaman, Christine M. Arnold
Hearing Site: Indianapolis, IN
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| 09-04628 | 02/01/2010 | Claimant(s): America's Choice Equities LLC
Claimant Lawyers(s): Raymond Nardo
Respondent(s): Stephen Liotta
Respondent Lawyers(s): Stephen Michael Liotta
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
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| 07-00999 | 01/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Stephen Whitman
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Harvey C. Flodin, Joseph T. Donnantuoni, Kevin K. Forrester
Hearing Site: San Diego, CA
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| 08-03530 | 01/28/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Thomas Barnett
Respondent(s): John Wilfong
Respondent Lawyers(s): R. Layne Holley
Arbitrator(s): J. Maxwell Williams, Patricia Best Vital, Todd Edward Phillips
Hearing Site: Memphis, TN
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