| 08-04722 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): David Lehrer, Michael Patterson, Stephen Hird
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Milwaukee, WI
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| 08-04723 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): Michael Luby
Respondent Lawyers(s): Stephen S. Mayne
Arbitrator(s):
Hearing Site: Kansas City, MO
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| 08-04724 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): Jack Swenson, John Thorn, Michael Swenson
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Minneapolis, MN
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| 08-04793 | 12/21/2009 | Claimant(s): Christopher Wanken
Claimant Lawyers(s): Christopher Michael Wanken
Respondent(s): John Wanken, Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan, William J. Dunne
Arbitrator(s): Michael E. Rohde, Maryanne M. Esser, Thomas Richard Delaney
Hearing Site: Dallas, TX
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| 09-01649 | 12/21/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Marino
Respondent Lawyers(s): Thomas J. Marino
Arbitrator(s): Joseph D. Valenti, Bernard S. Carrey, Daniel B. Daugherty
Hearing Site: Tampa, FL
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| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
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| 09-01246 | 12/18/2009 | Claimant(s): Joseph Ventura
Claimant Lawyers(s): Wayne A. Smith
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Loren Schechter
Arbitrator(s): Frank E. Wolf, Kenneth Dymond, Alan V. Iselin
Hearing Site: Albany, NY
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| 09-04374 | 12/18/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Leslie M. Greenspan
Respondent(s): David McDowell
Respondent Lawyers(s): David T. McDowell
Arbitrator(s): Mark Sidell
Hearing Site: Boca Raton, FL
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| 08-04632 | 12/17/2009 | Claimant(s): Arjent Services, Arjent US
Claimant Lawyers(s): James H. Freeman
Respondent(s): Tejash Brahmbhatt
Respondent Lawyers(s): Tejash Brahmbhatt
Arbitrator(s): Hugh N. Fryer, Michael C. Farkas, Richard Lee Mansdoerfer
Hearing Site: New York, NY
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| 09-01697 | 12/17/2009 | Claimant(s): Charles Lellman
Claimant Lawyers(s): Gregg Mele
Respondent(s): Granta Capital Group LLC
Respondent Lawyers(s): Francis Duffy
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
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