| 09-02220 | 01/28/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Richard Paul
Respondent Lawyers(s): Richard Aaron Paul
Arbitrator(s): G. Robert Abrams
Hearing Site: Memphis, TN
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| 06-04728 | 01/27/2010 | Claimant(s): Travelers Casualty and Surety Company, Wilbanks Securities.
Claimant Lawyers(s): Andrew J. Waldron, Bruce W. Day
Respondent(s): AXA Advisors
Respondent Lawyers(s): Thomas R. Cox
Arbitrator(s): David G. Ritchie, Robert Steven Haught, Richard L. Andeel
Hearing Site: Oklahoma City, OK
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| 08-03088 | 01/27/2010 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Richard Darquea
Respondent Lawyers(s): Richard Darquea
Arbitrator(s): Michael A. Levin, Robert A. Fabricant, Arthur L. Tepper
Hearing Site: Boca Raton, FL
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| 09-00936 | 01/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Daniel Aho
Respondent Lawyers(s): Daniel William Aho
Arbitrator(s): June J. Vinci
Hearing Site: Los Angeles, CA
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| 08-04195 | 01/25/2010 | Claimant(s): SMH Capital.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Alan Pacella
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Robert K. Ruskin, Richard Andrew Cahlin, Lisa Marie Macci
Hearing Site: Boca Raton, FL
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| 09-02618 | 01/25/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Frederick Routon
Respondent Lawyers(s): Frederick H. Routon
Arbitrator(s): James M. Alexander
Hearing Site: Houston, TX
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| 09-03100 | 01/25/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Will Rogers
Respondent Lawyers(s): Will T. Rogers
Arbitrator(s): Timothy L. Andrews
Hearing Site: Houston, TX
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| 08-01287 | 01/22/2010 | Claimant(s): A. Kovacs
Claimant Lawyers(s): Brian E. Bro
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Mark C. Watler, James A. Parker, Matthew Crump
Hearing Site: Houston, TX
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| 08-03523 | 01/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Chrys
Respondent Lawyers(s): Jeffrey J. Calabrese, Louis M. Lagalante
Arbitrator(s): Jay F. Donnaruma, Stuart M. Schwartz, Ruth A. Ihne
Hearing Site: Albany, NY
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| 09-00251 | 01/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Chad Caros
Respondent Lawyers(s): Chad Caros
Arbitrator(s): Daniel C. Kriser, Daniel Baruch Lidawer, Joseph D. Savino
Hearing Site: Chicago, IL
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