| 07-02582 | 08/26/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Eun-Joo Chang
Respondent Lawyers(s): Ekwan E. Rhow
Arbitrator(s): Alexander L. Mazour, Carol Ann Jensen, Daniel M. Yamshon
Hearing Site: San Francisco, CA
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| 08-04230 | 08/26/2009 | Claimant(s): Pearlene Love
Claimant Lawyers(s): Pearlene Perry Love
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Corin R. Swift
Arbitrator(s): Robert L. Chisolm
Hearing Site: Dallas, TX
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| 09-01314 | 08/26/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Aiello
Respondent Lawyers(s): Joseph John Aiello
Arbitrator(s): David E. Mowry
Hearing Site: Boca Raton, FL
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| 08-02151 | 08/25/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Samuel Begun
Respondent Lawyers(s): Samuel Begun
Arbitrator(s): Bonnie K. Wachtel, Ralph S. Blascovich, Paul A. Fischer
Hearing Site: Washington, DC
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| 09-00668 | 08/25/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Bruce Bruning
Respondent Lawyers(s): Bruce K. Bruning
Arbitrator(s): John N. Breazeale
Hearing Site: Boca Raton, FL
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| 08-01644 | 08/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Richard Hobgood
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): James Edward Banks, Charles K. ReCorr, Michael James Childers
Hearing Site: Raleigh, NC
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| 08-02789 | 08/21/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Charles Laverty
Respondent Lawyers(s): Zachary R. Smith
Arbitrator(s): Basil Lewis, Mark A. Levy, Ronald F. Rybandt
Hearing Site: Los Angeles, CA
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| 09-00463 | 08/21/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Robert Cotter
Respondent Lawyers(s): David L. Ward
Arbitrator(s): Peter M. Bizinkauskas
Hearing Site: Boston, MA
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| 09-00066 | 08/20/2009 | Claimant(s): Douglas Keyes
Claimant Lawyers(s): Douglas Michael Keyes
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John Miller
Arbitrator(s): Jeffry M. Bauer, Roland L. Olzark, Diane Allard Roegner
Hearing Site: Detroit, MI
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| 08-00849 | 08/18/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Michael Caprioni
Respondent Lawyers(s): Michael Caprioni
Arbitrator(s): James M. Baumann, Alan Shaw, Joseph Christopher Rosa
Hearing Site: Newark, NJ
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