09-02089 | 09/28/2009 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): John T. McGuire Respondent(s): David Armstrong Respondent Lawyers(s): David Lawrence Armstrong Arbitrator(s): Iris Taymore Schnitzer Hearing Site: Boston, MA
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09-01007 | 09/25/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Timothy N. Will Respondent(s): James Hodgins Respondent Lawyers(s): James Paul Hodgins Arbitrator(s): Robert Bruce MacDonald, George Frederick Garris, Paul Frederick Meyer Hearing Site: Los Angeles, CA
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07-03102 | 09/24/2009 | Claimant(s): Alberto Roque, Felipe Pazos, Patrick Grattan Claimant Lawyers(s): Jason S. Haselkorn Respondent(s): RBC Dain Rauscher., RBC Capital Markets LLC Respondent Lawyers(s): Carolyn Guy, Donald S. Arbour Arbitrator(s): Roy B. Gonas, Norman L. Weiss, Ted Romanos Hearing Site: Miami, FL
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08-03444 | 09/23/2009 | Claimant(s): Edward Jones Claimant Lawyers(s): Christopher A. Pickett Respondent(s): Bruce Trang, Morgan Stanley & Co. Respondent Lawyers(s): Peter M. Vial, Thomas V. Dulcich Arbitrator(s): Thomas D. Loftus, Lawrence E. Little, Kay A. Johnson, CRCP Hearing Site: Seattle, WA
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09-00153 | 09/21/2009 | Claimant(s): Janney Montgomery Scott LLC Claimant Lawyers(s): Dennis N. Lueck Respondent(s): Apostolos Pitsironis Respondent Lawyers(s): Christine A. Palmieri Arbitrator(s): Gilbert F. Bach, Daniel B. Berkson, Alan A. Gray Hearing Site: New York, NY
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09-01506 | 09/17/2009 | Claimant(s): EKN Financial Services Inc. Claimant Lawyers(s): Thomas Michael Giugliano Respondent(s): Ardeshir Sabi Respondent Lawyers(s): Barry Temkin Arbitrator(s): Martin H. Zern Hearing Site: New York, NY
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09-01921 | 09/16/2009 | Claimant(s): BBVA Securities Of Puerto Rico. Claimant Lawyers(s): Sonia Marbarak Respondent(s): Dennis Cummings Perez Respondent Lawyers(s): Dennis Domingo Cummings Perez Arbitrator(s): Jonathan H. Parker Hearing Site: San Juan, PR
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08-00801 | 09/15/2009 | Claimant(s): National Alliance Capital Claimant Lawyers(s): John F. Redwine Respondent(s): Stephen Jencks Respondent Lawyers(s): Stephen Jencks Arbitrator(s): Peter G. Walker, Richard D. Brady, Kim D. Stephens Hearing Site: Seattle, WA
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08-04338 | 09/15/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Andrew Prophet Respondent Lawyers(s): Andrew Seafus Prophet Arbitrator(s): Dallas Whitney Coffman Hearing Site: Hartford, CT
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09-01073 | 09/15/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Dean Matthews Respondent Lawyers(s): Dean Sean Matthews Arbitrator(s): Mitchell M. Willoughby Hearing Site: Charlotte, NC
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