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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