| 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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