| 09-02071 | 10/16/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Lawrence Mcintosh
Respondent Lawyers(s): Lawrence Clyde Mcintosh
Arbitrator(s): James G. Cooper, Eli Bensky, Dale A. Hearn
Hearing Site: Houston, TX
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| 07-03283 | 10/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Eric Dunavant
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Prince C. Chambliss, G. Phillip Shuler, Robert A. Wojcik
Hearing Site: New Orleans, LA
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| 08-01653 | 10/15/2009 | Claimant(s): Francois Pages
Claimant Lawyers(s): Hollis Gonerka Bart
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Annette B. Meyers, Michael S. Lazan, Paul R. Walsh
Hearing Site: New York, NY
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| 09-02313 | 10/15/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Baker
Respondent Lawyers(s): John Robert Baker
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA
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| 08-04479 | 10/13/2009 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Don Steriovski
Respondent Lawyers(s): Samuel G. Vazanellis
Arbitrator(s): Steven Samson, Joseph D. Savino, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 08-00743 | 10/12/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Mark Hopkins
Respondent Lawyers(s): Mark D. Hopkins
Arbitrator(s): Lonnie L. Cunningham, Thomas P. Hoover, Christopher Daniel Gryzen
Hearing Site: Kansas City, MO
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| 08-01403 | 10/12/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Susan Guerette
Respondent(s): Lee Munson, Portfolio LLC
Respondent Lawyers(s): Clinton W. Marrs
Arbitrator(s): George N. Roy, Brian L Evans, Merton E. Marks
Hearing Site: Albuquerque, NM
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| 09-02516 | 10/12/2009 | Claimant(s): Kenneth Cherrier
Claimant Lawyers(s): Terrence J. Fleming
Respondent(s): Woodbury Financial Services.
Respondent Lawyers(s): Irene E. Bassock
Arbitrator(s): James A. Lundberg, Loyall E. Wilson, Donald Ray McNeil
Hearing Site: Minneapolis, MN
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| 06-02076 | 10/09/2009 | Claimant(s): Eugene Ross
Claimant Lawyers(s): Eugene C. Ross
Respondent(s): Bear Stearns & Co..
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Susan C. Lushing, David I. Goldblatt, Thomas A. Abitabile
Hearing Site: New York, NY
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| 08-03063 | 10/09/2009 | Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Michael Hill
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Neal S. Smalbach
Arbitrator(s): Steven Ira Weinberger, Richard A. Stephens, R. Christopher Laux
Hearing Site: Boca Raton, FL
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