| 08-01302 | 04/28/2009 | Claimant(s): American Capital Partners
Claimant Lawyers(s): J. Christopher Albanese
Respondent(s): Jaime Rodriguez
Respondent Lawyers(s): Jaime Rodriguez
Arbitrator(s): Berton Seltzberg
Hearing Site: New York, NY
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| 08-03686 | 04/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Caroline Mellema
Respondent Lawyers(s): David A. Weintraub
Arbitrator(s): Lanny M. Leff
Hearing Site: Ft. Lauderdale, FL
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| 07-03484 | 04/27/2009 | Claimant(s): Bear, Stearns & Co. LLC
Claimant Lawyers(s): Gene L. Small
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Alain Leibman
Arbitrator(s): Richard D. Chusid, Kinchen C. Bizzell, Farrell C. Glasser
Hearing Site: New York, NY
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| 08-00463 | 04/27/2009 | Claimant(s): Stifel, Nicolaus & Company.
Claimant Lawyers(s): Christie A. Moore
Respondent(s): Thomas Polston
Respondent Lawyers(s): Bruce D. Atherton
Arbitrator(s): Patrick J. Burley, David T. Maddux, Anthony Ray Harris
Hearing Site: Louisville, KY
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| 08-01842 | 04/27/2009 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Will Stute
Respondent(s): Juliet Kiwanuka
Respondent Lawyers(s): Juliet Ann Kiwanuka
Arbitrator(s): Stephen C. Thayer, George F. Longino, Jill M. Zacha
Hearing Site: Dallas, TX
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| 06-04482 | 04/24/2009 | Claimant(s): William Scott
Claimant Lawyers(s): David Burton Brady
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Claidia M. Cohen
Arbitrator(s): John B. Ryan, John J. Bucko, Robert J. Bender
Hearing Site: Newark, NJ
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| 08-01621 | 04/24/2009 | Claimant(s): Richard Soucy
Claimant Lawyers(s): Richard K Soucy
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Julie C. Webb
Arbitrator(s): Eugene Tenenbaum, Elizabeth K. Norsworthy, Philip S. Wellman
Hearing Site: Manchester, NH
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| 08-03221 | 04/24/2009 | Claimant(s): Song Sop Choe
Claimant Lawyers(s): Song Sop Choe
Respondent(s): Fordham Financial Management.
Respondent Lawyers(s): Christopher S. Mattei
Arbitrator(s): Marilyn J. Salzman, Alice J. P. Lee-Getman, Arthur Best
Hearing Site: New York, NY
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| 08-01230 | 04/23/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Gerek
Respondent Lawyers(s): Martin Gerek
Arbitrator(s): Charles W. Herf, Marvin J. Klein, Gary L. Freeman
Hearing Site: Las Vegas, NV
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| 08-02116 | 04/23/2009 | Claimant(s): Edward Schiavi
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Patrick J. Halter, Kenneth R. Johnston, Richard D. Fincher
Hearing Site: Albuquerque, NM
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