| 08-04652 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Lisa Alvarado
Respondent Lawyers(s): Jennifer L. Bergman
Arbitrator(s): Mobley E. Cox, Martin Samuel Altimore, JoAnn McEwan
Hearing Site: Houston, TX
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| 08-04756 | 01/06/2010 | Claimant(s): Ian Fay
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): BNP Paribas, BNP Paribas Securities Corp.
Respondent Lawyers(s): Richard J. Reibstein
Arbitrator(s): Lise Gabrielle Hunter, W. Jeffrey Weinlandt, Abigail J. Pessen
Hearing Site: New York, NY
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| 09-04323 | 01/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Wesley Fracker
Respondent Lawyers(s): Wesley A. Fracker
Arbitrator(s): John R. Main
Hearing Site: Detroit, MI
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| 07-01736 | 01/05/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): David L. Ward
Respondent(s): James Dowd, John McMahon, Morgan Stanley & Co., Mark Brown, Todd Walker
Respondent Lawyers(s): Michael L. Chinitz, Michael L. Rosen
Arbitrator(s): John R. Thompson, Sandor I. Rabkin, Thomas J. Horack
Hearing Site: Boston, MA
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| 08-02295 | 01/05/2010 | Claimant(s): Thomas Engelhard
Claimant Lawyers(s): Ronald M. Amato
Respondent(s): Hartford Equity Sales Copany Inc.
Respondent Lawyers(s): Peter R. Bulmer
Arbitrator(s): Thomas F. Mahoney, Kenneth J. Good, Harvey R. Herman
Hearing Site: Chicago, IL
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| 08-03001 | 01/05/2010 | Claimant(s): Jarod Winters
Claimant Lawyers(s): David Kleinmann
Respondent(s): Barclays Capital.
Respondent Lawyers(s): John F. Fullerton
Arbitrator(s): Larry A. Kimmel, Keely D. Parr, John G. Kennedy
Hearing Site: New York, NY
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| 09-00355 | 01/04/2010 | Claimant(s): Robert Kelly
Claimant Lawyers(s): Robert J. Kelly
Respondent(s): Titus & Donnelly LLC
Respondent Lawyers(s): John G. Kimberlin
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
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| 09-01781 | 12/31/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Jeffrey S. Hood
Respondent(s): Charles Ray
Respondent Lawyers(s): Charles Ray
Arbitrator(s): Kenneth I. Rosenblum
Hearing Site: Los Angeles, CA
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| 06-05002 | 12/30/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Jeffrey Myers
Respondent Lawyers(s): Jeffrey Myers
Arbitrator(s): M. Eileen Dorsey, Sandra D. Deters, Matthew R. Salamon
Hearing Site: St. Louis, MO
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| 08-00452 | 12/30/2009 | Claimant(s): Paige Sherman
Claimant Lawyers(s): Michael Blumenfeld
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Richard L. Rubin, Laura Effel, Robert M. Lubin
Hearing Site: San Francisco, CA
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