| 08-03446 | 08/10/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michael Desfor
Respondent Lawyers(s): Michael Eric Desfor
Arbitrator(s): Edward T. Borer, Walter J. Schwenk, James T. McLaughlin
Hearing Site: Philadelphia, PA
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| 09-00131 | 08/10/2009 | Claimant(s): BBVA Securities of Puerto Rico.
Claimant Lawyers(s): Sonia Marbarak
Respondent(s): Frank Rivera
Respondent Lawyers(s): Frank R. Rivera
Arbitrator(s): Raymond W. Snow
Hearing Site: San Juan, PR
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| 08-02357 | 08/07/2009 | Claimant(s): ABS Brokerage Services, Iseroute, Llc, Pro Securities, L.L.C.
Claimant Lawyers(s): Carl M. Greenfeld
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Donald J. Rasweiler, Arthur P. Fisch, Douglas F. Stone
Hearing Site: New York, NY
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| 08-04913 | 08/06/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Slowik
Respondent Lawyers(s): Robert J. Slowik
Arbitrator(s): Richard C. Moenning, A. Brad Busscher, Jack L. Karp
Hearing Site: Chicago, IL
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| 07-03516 | 08/05/2009 | Claimant(s): Joseph Petrone
Claimant Lawyers(s): Linda M. Deola
Respondent(s): Investacorp., Ladenburg Thalmann Financial Services LL
Respondent Lawyers(s): Mark J. Astarita, Michael J. Astarita
Arbitrator(s): Kip C. Lubcke, John R. Pepe, Linda J. Baer
Hearing Site: Newark, NJ
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| 09-00888 | 08/04/2009 | Claimant(s): First Allied Securities.
Claimant Lawyers(s): Marion J. Vomhof
Respondent(s): Anthony Troia
Respondent Lawyers(s): Anthony Charles Troia
Arbitrator(s): Eric J. Sussman
Hearing Site: New York, NY
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| 08-03550 | 08/03/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Monica M. Mintz
Respondent(s): Donald Glover
Respondent Lawyers(s): Donald Lee Glover
Arbitrator(s): Perry Lee Taylor, Daniel H. Kolber, Kenneth I. Daniels
Hearing Site: Atlanta, GA
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| 09-00271 | 08/03/2009 | Claimant(s): Donna Lail
Claimant Lawyers(s): Donna Lail
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Cathy Gress Springer
Arbitrator(s): Bruce Jones
Hearing Site: Indianapolis, IN
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| 07-01543 | 07/31/2009 | Claimant(s): Eugene Marquardt
Claimant Lawyers(s): David W. Neel
Respondent(s): Brian Brennan, John Schlifer, Patricia Wyant, KeyBanc Capital Markets., KeyCorp
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): James Dale Ellis, Robert M. Shwab, John C. Aten
Hearing Site: Cleveland, OH
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| 08-01524 | 07/31/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas G. Stack
Respondent(s): Jeffrey Boettcher
Respondent Lawyers(s): Mark Chester
Arbitrator(s): Katherine M. Harmeyer, Douglas E. McArthur, Allan D. Breyer
Hearing Site: Phoenix, AZ
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