09-04097 | 12/07/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Michael Wiginton Respondent Lawyers(s): Michael W. Wiginton Arbitrator(s): Thomas C. Moxley Hearing Site: Birmingham, AL
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09-03445 | 12/03/2009 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Diana H. Sur Respondent(s): Duffy Worth Respondent Lawyers(s): Duffy John Worth Arbitrator(s): Richard Slavin Hearing Site: Hartford, CT
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09-03739 | 12/03/2009 | Claimant(s): John Koehler Claimant Lawyers(s): John Thomas Koehler Respondent(s): Pruco Securities. Respondent Lawyers(s): Sari M. Alamuddin Arbitrator(s): James P. McCrocklin Hearing Site: Indianapolis, IN
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09-03762 | 12/03/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Justin A. Colberg Respondent(s): Daniel Stephens Respondent Lawyers(s): Daniel Lynn Stephens Arbitrator(s): Thomas B. Phillips Hearing Site: Kansas City, MO
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09-03778 | 12/03/2009 | Claimant(s): W&S Brokerage Services. Claimant Lawyers(s): David E. Theurich Respondent(s): Kevin Mannor Respondent Lawyers(s): Robert D. Mannor Arbitrator(s): Marvin I. Horowitz Hearing Site: Detroit, MI
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08-04142 | 12/02/2009 | Claimant(s): Guya Rai Claimant Lawyers(s): Noah A. Kinigstein Respondent(s): Barclays Capital Inc. Respondent Lawyers(s): Eliza A. Kaiser Arbitrator(s): John N. Polakas, Aaron Tyk, William H. Morley Hearing Site: New York, NY
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09-03307 | 12/01/2009 | Claimant(s): Maxim Group LLC Claimant Lawyers(s): Christopher Massey Respondent(s): Darryl Wise Respondent Lawyers(s): Darryl C. Wise Arbitrator(s): Paul K. Barenholtz Hearing Site: New York, NY
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08-03045 | 11/30/2009 | Claimant(s): J.B. Hanauer & Co. Claimant Lawyers(s): Joseph F. Keenan Respondent(s): Robert Grossman Respondent Lawyers(s): Evan S. Neadel Arbitrator(s): James J. Noone, Herbert Z. Geiger, John W. Thomas Hearing Site: Newark, NJ
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09-00423 | 11/30/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Christopher C. Young Respondent(s): Raymond Jackson Respondent Lawyers(s): Gregory N. Finnerty Arbitrator(s): Peter L. Pointer, Charles D. Underwood, Regina F. Burch Hearing Site: Columbus, OH
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09-01681 | 11/30/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Bernard Cerrone Respondent Lawyers(s): Bernard John Cerrone Arbitrator(s): Christine Armstrong, Michael L. Letendre, John B. Dew Hearing Site: Augusta, ME
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