| 11-04385 | 05/16/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachel Carp
Respondent(s): Jon Coleman
Respondent Lawyers(s): Jon Christian Coleman
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 11-04344 | 05/15/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Archie Capinguian
Respondent(s): Jonathan Brimley
Respondent Lawyers(s): Dennis M. Fitzgerald
Arbitrator(s): Alex H. Keller
Hearing Site: Columbus, OH
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| 09-05679 | 05/14/2012 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Jimmie Canole
Respondent Lawyers(s): Jimmie Dean Canole
Arbitrator(s): Gary M. Landau
Hearing Site: Orlando, FL
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| 11-00720 | 05/14/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Mark Magnone
Respondent Lawyers(s): William A. Healy
Arbitrator(s): Peter B. Vaden, Laurence M. Scoville, William James Russell
Hearing Site: Norfolk, VA
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| 11-03525 | 05/14/2012 | Claimant(s): Domestic Securities.
Claimant Lawyers(s): Carole R. Bernstein
Respondent(s): John Laresca
Respondent Lawyers(s): John Charles Laresca
Arbitrator(s): Linda T. Pellegrino
Hearing Site: Newark, NJ
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| 11-00092 | 05/11/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Grant H. Dowd
Respondent(s): Tony Mingo
Respondent Lawyers(s): Tony F. Mingo
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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| 11-01399 | 05/11/2012 | Claimant(s): Duane Nack
Claimant Lawyers(s): Duane Arlen Nack
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Kristina L. Carlson
Arbitrator(s): Thomas C. McNally, Nancy Hutt, Daniel J. Lind
Hearing Site: San Francisco, CA
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| 11-02018 | 05/10/2012 | Claimant(s): Charles Echemuna
Claimant Lawyers(s): Charles Echeumuna
Respondent(s): GWFS Equities.
Respondent Lawyers(s): Robert M. Little
Arbitrator(s): Peter Ordower, Jeffrey W. Finke, Robert J. Larson
Hearing Site: Chicago, IL
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| 10-00221 | 05/09/2012 | Claimant(s): Charles Baltic
Claimant Lawyers(s): Charlotte Houghteling
Respondent(s): CRT Capital Group LLC
Respondent Lawyers(s): Myles K. Bartley
Arbitrator(s): John B. Morgan, Howard L. Sobel, Seymour Stanton
Hearing Site: New York, NY
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| 10-02413 | 05/09/2012 | Claimant(s): Mark Berry
Claimant Lawyers(s): Jenice L Malecki
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Cliff Fonstein
Arbitrator(s): Judith C. Greene, Andrew J. Gerber, Martin Deignan Dehler
Hearing Site: New York, NY
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