| 08-00693 | 10/20/2009 | Claimant(s): Tara Gutierrez-Maddi
Claimant Lawyers(s): Kirk D. Holman
Respondent(s): Brian Wall, A.G. Edwards & Sons.
Respondent Lawyers(s): Christi Hilker Vaglio, Jeffrey Hanslick
Arbitrator(s): Leah A. Murray, Michael D. Fitzgerald, Gerald Francis Lamberti
Hearing Site: Kansas City, MO
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| 08-03237 | 10/20/2009 | Claimant(s): David Medina
Claimant Lawyers(s): Joni M Fixel
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Norman D. Hawkins
Arbitrator(s): Robert A. Vogler, Barry Goldman, John A. Cook
Hearing Site: Detroit, MI
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| 08-04333 | 10/20/2009 | Claimant(s): Robert W. Baird & Co. Incorporated
Claimant Lawyers(s): David P. Muth
Respondent(s): Bradford Marshall, Robert Gesdorf, Shelagh Stewart, Thomas Palmer
Respondent Lawyers(s): Marc S. Dobin
Arbitrator(s): Peter J. Lavezzoli, Roy B. Gonas, Herbert Branitsky
Hearing Site: Ft. Lauderdale, FL
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| 09-02813 | 10/20/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph D. MacLellan
Respondent(s): Kirk Barrett
Respondent Lawyers(s): Kirk Christopher Barrett
Arbitrator(s): Thomas J. Donoghue
Hearing Site: Boston, MA
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| 08-02765 | 10/19/2009 | Claimant(s): Stephen Bull, Bull Capital Management n/k/a Next
Claimant Lawyers(s): Valerie Lynn Bailey-Rihn
Respondent(s): James Shaw, J.W. Shaw Group.
Respondent Lawyers(s): Vincent E. Nowak
Arbitrator(s): Richard B. Bequette, Ernest F. Modzelewski, Michael F. Patterson
Hearing Site: Phoenix, AZ
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| 08-04684 | 10/19/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John McGuire
Respondent(s): Peter Balint
Respondent Lawyers(s): Peter Balint
Arbitrator(s): Linda R. Alpert, Jack Steiner, Kenneth F. Leder
Hearing Site: New York, NY
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| 09-02809 | 10/19/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Michael Wheatley
Respondent Lawyers(s): Michael J. Wheatley
Arbitrator(s): Patrick J. Burley
Hearing Site: Cincinnati, OH
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| 07-03030 | 10/16/2009 | Claimant(s): Gretchen Burke
Claimant Lawyers(s): Liam O'Brien
Respondent(s): Citigroup Global Markets., Jeffrey Tucker, John Ebaniette
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Joseph B. Russell, Dwight Wassong, Sharon A. McCloskey
Hearing Site: Newark, NJ
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| 08-02811 | 10/16/2009 | Claimant(s): John Griff
Claimant Lawyers(s): Daniel A. Pollack
Respondent(s): National Banc Financial., National Bank of Canada Financial, Putnam Lovell NBF Securities.
Respondent Lawyers(s): Lauren Reiter Brody
Arbitrator(s): John B. Sprung, Alan Steven Brodherson, James D. Muir
Hearing Site: New York, NY
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| 08-03604 | 10/16/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Hutchison
Respondent Lawyers(s): James P. Hutchison
Arbitrator(s): Gregory E. Cater, Michael C. Hempfling, Matthew Crump
Hearing Site: Houston, TX
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