| 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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