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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