| 08-04452 | 05/06/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Hince
Respondent Lawyers(s): Christopher Michael Hince
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
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| 08-03163 | 05/05/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Thomas Dering
Respondent Lawyers(s): Thomas H. Dering
Arbitrator(s): John B. Ryan
Hearing Site: Newark, NJ
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| 08-03225 | 05/05/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Michelle Feeley
Respondent Lawyers(s): Michelle Murphy Feeley
Arbitrator(s): John B. Morgan, Joseph M. Buffone, Preston V. Pumphrey
Hearing Site: New York, NY
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| 08-04655 | 05/05/2009 | Claimant(s): Cory Zucker
Claimant Lawyers(s): Cory Zucker
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew H. Smith
Arbitrator(s): Donald J. Zoeller
Hearing Site: New York, NY
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| 06-05128 | 04/30/2009 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Mark Healey
Respondent Lawyers(s): Mark Francis Healey
Arbitrator(s): Scott Pierce
Hearing Site: New York, NY
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| 08-02895 | 04/30/2009 | Claimant(s): Mark Moran
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jerry M. Santangelo
Arbitrator(s): George N. Roy, Thomas P. Delnoce, Jay Lawrence Witkin
Hearing Site: Phoenix, AZ
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| 07-01535 | 04/29/2009 | Claimant(s): Wall Street Access Corporation
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Scott Wertheim, CapTrust Financial Advisors
Respondent Lawyers(s): Amie Flower Carmack
Arbitrator(s): Paul C. Kurland, Edward Baer, Denzil J. Klippel
Hearing Site: New York, NY
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| 07-02629 | 04/29/2009 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Williard R. Knox
Respondent(s): Carlos Bonilla, Jaime Diaz
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Margaret M McQueeney, Denise N. Seegobin, Joseph Mark Hubbell
Hearing Site: New York, NY
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| 08-02780 | 04/29/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): William Dahm
Respondent Lawyers(s): William C. Dahm
Arbitrator(s): Edward T. Borer, Peter D. Shelp, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
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| 08-01052 | 04/28/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Cary Scheer, Corey McCarty
Respondent Lawyers(s): John R. Fahy
Arbitrator(s): Robert L. Yeager, Melody A. Pruser, David A. Schuler
Hearing Site: Dallas, TX
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