| 08-00064 | 11/18/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kendall Blunt
Respondent Lawyers(s): John T. Carr
Arbitrator(s): Marvin G. Breen, Joyce L. Tyler, Alan Reginald Doe
Hearing Site: Portland, OR
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| 09-00855 | 11/18/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Amy E. Sparrow
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Joel Margolies, Mark I. Scheinbaum, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
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| 09-01663 | 11/18/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Carrie L. Chelko
Respondent(s): Craig Pierson
Respondent Lawyers(s): Craig Alan Pierson
Arbitrator(s): Mark D. Quinn
Hearing Site: Ft. Lauderdale, FL
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| 08-04040 | 11/17/2009 | Claimant(s): Suntrust Investment Services.
Claimant Lawyers(s): Timothy J McEvoy
Respondent(s): Michael Depirri
Respondent Lawyers(s): Jonathan E. Levine
Arbitrator(s): Wendie L. Wachtel, Michael J. Henke, Geoffrey A. Drucker
Hearing Site: Washington, DC
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| 09-02804 | 11/13/2009 | Claimant(s): Max International Broker/Dealer Corp.
Claimant Lawyers(s): David Isolano
Respondent(s): David Mahood
Respondent Lawyers(s): David Jonathan Mahood
Arbitrator(s): Saul Scheier
Hearing Site: New York, NY
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| 09-03738 | 11/13/2009 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Christopher M. Moody
Respondent(s): Southwest Securities.
Respondent Lawyers(s): Eric R. Hail
Arbitrator(s): Richard R. Edmister
Hearing Site: Albuquerque, NM
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| 08-00477 | 11/12/2009 | Claimant(s): Regal Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Irving Martinez, Jaime Rodriguez
Respondent Lawyers(s): Irving A. Martinez, Jaime Rodriguez
Arbitrator(s): Edward Buscemi
Hearing Site: New York, NY
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| 08-00818 | 11/12/2009 | Claimant(s): Susan Ure
Claimant Lawyers(s): Susan Ure
Respondent(s): ING Financial Advisers, ING Life Insurance and Annuity Company
Respondent Lawyers(s): Michael E. Wilbur
Arbitrator(s): Mitchell S. Ostwald, Charles E. Farnsworth, Sharon Truluck Maier
Hearing Site: San Francisco, CA
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| 08-04147 | 11/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Michael Fels
Respondent Lawyers(s): Michael Fels
Arbitrator(s): John R Kiefner, Paul L. Matecki, Karen Fancher
Hearing Site: Clearwater, FL
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| 09-00095 | 11/12/2009 | Claimant(s): RBC Wealth Management
Claimant Lawyers(s): Jospeh Keenan
Respondent(s): Newell Anderson
Respondent Lawyers(s): Newell Weldon Anderson
Arbitrator(s): Edward T. Borer, Alan M. Schankel, Peter D. Shelp
Hearing Site: Philadelphia, PA
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