| 08-02090 | 11/25/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): John Lagattuta
Respondent Lawyers(s): Charles K. Webster
Arbitrator(s): Bert S Cliff, N. John Marinack, David Darrah
Hearing Site: Cleveland, OH
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| 09-01546 | 11/24/2009 | Claimant(s): Lincoln Investment Planning.
Claimant Lawyers(s): Joshua S. Ganz
Respondent(s): Linda Bailey
Respondent Lawyers(s): Linda Joan Bailey
Arbitrator(s): Jerry P. DeNigris
Hearing Site: Newark, NJ
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| 09-04235 | 11/24/2009 | Claimant(s): Damon Dozier
Claimant Lawyers(s): John Caldwell
Respondent(s): Mark Rhynes
Respondent Lawyers(s): Mark Herman Rhynes
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 07-02483 | 11/23/2009 | Claimant(s): Holly Bell
Claimant Lawyers(s): Trippe S. Fried
Respondent(s): Fifth Third Bank
Respondent Lawyers(s): Marcus M. Crider
Arbitrator(s): Fred M. Acuff, Robert J Warner, Judith Stilz Ogden
Hearing Site: Nashville, TN
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| 08-03243 | 11/23/2009 | Claimant(s): Christopher Winton
Claimant Lawyers(s): Todd R. Hixon
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Henry Hermann, Donald C. Hood, Helmut O. Wolff
Hearing Site: Dallas, TX
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| 08-04374 | 11/23/2009 | Claimant(s): Mark Steele
Claimant Lawyers(s): Keith Ehrman
Respondent(s): Thomas Weisel Partners LLC
Respondent Lawyers(s): Thomas P. Klein
Arbitrator(s): Andrew R. Epstein, James N. D'Orso, Peter H. Daly
Hearing Site: San Francisco, CA
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| 09-00965 | 11/23/2009 | Claimant(s): City Securities Corporation
Claimant Lawyers(s): John T.L. Koening
Respondent(s): Brian Osner, Ameriprise Financial Services.
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): R. Van Young, Raymond M. Kirtley, Eugene G. Ziobron
Hearing Site: Indianapolis, IN
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| 09-02554 | 11/20/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Don Steriovski
Respondent Lawyers(s): Don Steriovski
Arbitrator(s): Victor Elting
Hearing Site: Chicago, IL
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| 09-03005 | 11/19/2009 | Claimant(s): Michael Dortheimer
Claimant Lawyers(s): Michael Dortheimer
Respondent(s): James Conlin, Kabrik Trading LLC
Respondent Lawyers(s): Andrew J. Goodman
Arbitrator(s): Gary W. Sherbell
Hearing Site: New York, NY
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| 09-03710 | 11/19/2009 | Claimant(s): Financial West Group
Claimant Lawyers(s): Robert Creaser
Respondent(s): Walter Ellis
Respondent Lawyers(s): Walter Allen Ellis
Arbitrator(s): George Frederick Garris
Hearing Site: Los Angeles, CA
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