| 08-00688 | 12/29/2009 | Claimant(s): P. Isenberg
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Synergy Investment Group
Respondent Lawyers(s): Dexter B. Johnson
Arbitrator(s): Robert T. Allen, Mary C. Thornberry, David M. Pierce
Hearing Site: Charlotte, NC
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| 08-02482 | 12/29/2009 | Claimant(s): Lance Beck
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Suntrust Robinson Humphrey.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Joyce F. Glucksman, Monique Michelle Wilkerson, Bonnie B. Revoner
Hearing Site: Atlanta, GA
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| 09-02477 | 12/29/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Daniel Carriazo
Respondent Lawyers(s): Daniel J. Carriazo
Arbitrator(s): Joel Margolies, Harry Dressler, Harold F. Corrigan
Hearing Site: Miami, FL
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| 09-00196 | 12/23/2009 | Claimant(s): Steven Sorensen
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sheetal Parikh
Arbitrator(s): Gerald J. Stratman, Bruce Keplinger, Lawrence P. McLellan
Hearing Site: Omaha, NE
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| 07-01400 | 12/22/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Wachovia Securities, Jason Siegel
Respondent Lawyers(s): David L. Ward
Arbitrator(s): William J. Crowe, Gerry E. Feinberg, Aubrey Lees
Hearing Site: New York, NY
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| 09-01972 | 12/22/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Eric Rice
Respondent Lawyers(s): Eric Allen Rice
Arbitrator(s): James B. Guillou
Hearing Site: San Diego, CA
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| 09-02038 | 12/22/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Jack B. Golden
Hearing Site: Hartford, CT
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| 08-00527 | 12/21/2009 | Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird
Claimant Lawyers(s): Amanda M. Knudsen
Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin
Hearing Site: San Francisco, CA
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| 08-03977 | 12/21/2009 | Claimant(s): Signal Securities Inc.
Claimant Lawyers(s): Gilbert W. Boyce
Respondent(s): David Beck
Respondent Lawyers(s): David L. Beck
Arbitrator(s): Arthur H. Geffen, Priscilla Kim Park, Preston Deaton Rigsby
Hearing Site: Dallas, TX
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| 08-04720 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Barney Cohen, Bradley Fisher, Richard Meyers, Scott Merriman, Scott Smallman, Steven Charlston, Warren Mach
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Seattle, WA
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