| 09-03565 | 01/21/2010 | Claimant(s): Main Street Securities
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Jack Burkhart
Respondent Lawyers(s): Jack Allen Burkhart
Arbitrator(s): M. W. Gear
Hearing Site: Kansas City, MO
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| 08-02415 | 01/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Todd Funk
Respondent Lawyers(s): Sherry Coley
Arbitrator(s): Gregory G. Wille, Florence Z. Enders, Scott Stauffer
Hearing Site: Milwaukee, WI
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| 09-01130 | 01/15/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Carol Ramsdell, Wachovia Securities, Eugene Richardson, Justin Burdo, Marc Johnson
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): David Buch, Christopher C. Willett, Ronald Ripstein
Hearing Site: Rochester, NY
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| 09-03229 | 01/14/2010 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Yachtz Winch
Respondent Lawyers(s): Yachtz Radcliff Winch
Arbitrator(s): Marvin G. Pickholz
Hearing Site: New York, NY
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| 09-04741 | 01/14/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kirk Westermann
Respondent Lawyers(s): Kirk Westermann
Arbitrator(s): Sidney L. Sussman
Hearing Site: Charlotte, NC
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| 08-03207 | 01/13/2010 | Claimant(s): Fordham Financial Management.
Claimant Lawyers(s): Brian Neville
Respondent(s): John Alejos
Respondent Lawyers(s): Juan C. Alejos
Arbitrator(s): Daniel B. Berkson, John P. Bevilacqua, Arthur D. Felsenfeld
Hearing Site: New York, NY
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| 08-04065 | 01/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Newman
Respondent Lawyers(s): Steven Arthur Newman
Arbitrator(s): Edith M. Novack, Simone A. Muscarnera, Jeffrey H. Rosenthal
Hearing Site: Newark, NJ
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| 09-01586 | 01/13/2010 | Claimant(s): John Busacca
Claimant Lawyers(s): John Brian Busacca
Respondent(s): Bruce Blatman, Timothy Ward
Respondent Lawyers(s): Bruce W. Barnes, Timothy Ward
Arbitrator(s): David M. Snyder
Hearing Site: Orlando, FL
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| 09-04000 | 01/13/2010 | Claimant(s): Antonio Lisi
Claimant Lawyers(s): Antonio Lisi
Respondent(s): Conseco Financial Services., Conseco Inc.
Respondent Lawyers(s): Josh F. Brown
Arbitrator(s): Daniel P. Lund
Hearing Site: Newark, NJ
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| 08-00944 | 01/11/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Sue Lee
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Audrey H. Ruben, James S. Carlson, Marc S. Joseph
Hearing Site: Los Angeles, CA
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