| 09-03505 | 12/17/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): David Jeromin
Respondent Lawyers(s): David John Jeromin
Arbitrator(s): Charles E. Farnsworth
Hearing Site: San Francisco, CA
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| 08-02054 | 12/16/2009 | Claimant(s): Peter Hickey
Claimant Lawyers(s): Sean F. O'Shea
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Theodor Brown, Jeffrey G. Sommers, Gelvin L. Stevenson
Hearing Site: New York, NY
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| 08-02081 | 12/16/2009 | Claimant(s): John Yarbrough
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Kenneth E. Owen, David W. Casey, Karen J. Burneff
Hearing Site: Los Angeles, CA
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| 09-02434 | 12/16/2009 | Claimant(s): Keith Zuckerberg
Claimant Lawyers(s): Keith Zuckerberg
Respondent(s): Euro-Atlantic Securities., Meyers Pollock Robbins.
Respondent Lawyers(s): Mary Lyn Villanueva, Michael Ploshnick
Arbitrator(s): Richard A. Jacobs
Hearing Site: New York, NY
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| 08-03682 | 12/15/2009 | Claimant(s): Saxony Securities.
Claimant Lawyers(s): Christopher T. O'Connor
Respondent(s): Craig Langweiler
Respondent Lawyers(s): Craig G. Langweiler
Arbitrator(s): Linda T. Pellegrino, Joan M. Traub, Robert J. Gorgia
Hearing Site: Newark, NJ
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| 09-01386 | 12/15/2009 | Claimant(s): Benjamin Rooks
Claimant Lawyers(s): Jeffrey Grant Brown
Respondent(s): William Blair & Company L.L.C.
Respondent Lawyers(s): Tobias E. Schlueter
Arbitrator(s): Sanford J. Prizant, Sondra Sellars, Irving S. Capitel
Hearing Site: Chicago, IL
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| 09-03082 | 12/15/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Kevin Simpson
Respondent Lawyers(s): Kevin Joseph Simpson
Arbitrator(s): Marc S. Piven
Hearing Site: Boca Raton, FL
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| 09-03954 | 12/15/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Thomas Pie
Respondent Lawyers(s): Thomas More Pie
Arbitrator(s): Jerry G. Kos
Hearing Site: Pittsburgh, PA
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| 09-03955 | 12/15/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Matthew Houston
Respondent Lawyers(s): Matthew Salvador Houston
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
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| 07-03514 | 12/14/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael J. McAllister
Respondent(s): Dino Dionne-Tontchev, National Securities Corporation, National Asset Management., Worldwide Wealth Management Inc.
Respondent Lawyers(s): Dino Dionne, Jamie Diaz, Mark Roth
Arbitrator(s): John N. Polakas, Elaine D. Papas, Robert Bartels
Hearing Site: New York, NY
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