| 09-04797 | 02/29/2012 | Claimant(s): Cutler Group, DC Trading Partners L.L.C., Everest Trading, MOG Capital L.L.C., Vtrader Pro
Claimant Lawyers(s): Martin P. Russo
Respondent(s): Joseph Pires, Kellogg Capital Group LLC, Kellogg Capital Markets, US Clearing Corp
Respondent Lawyers(s): George Brunelle, Michael H. Ference
Arbitrator(s): Douglas F. Stone, Christina Kallas, Sam Antar
Hearing Site: New York, NY
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| 09-06810 | 02/29/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Kent Elliott
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Lester Friedman, Gary A. Hooker, Val D. Hornstein
Hearing Site: San Francisco, CA
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| 10-05046 | 02/29/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Thomas Watts
Respondent Lawyers(s): Charles W. Wright
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Jackson, MS
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| 10-05492 | 02/29/2012 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): David Mikula, Morgan Stanley
Respondent Lawyers(s): James L. Sonneborn, Phillip J. Campisi
Arbitrator(s): Suzanne E. Reynolds-Brady, Robert S. Getman, Michael A. Orticelle
Hearing Site: Albany, NY
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| 11-01170 | 02/29/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Sean Morrissey
Respondent Lawyers(s): Sean Morrissey
Arbitrator(s): Michael M. Hachigian
Hearing Site: San Francisco, CA
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| 11-02215 | 02/28/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Eric Hansen
Respondent Lawyers(s): Eric M. Hansen
Arbitrator(s): Edwin J. Tomko
Hearing Site: Dallas, TX
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| 10-03600 | 02/27/2012 | Claimant(s): Ceros Financial Services.
Claimant Lawyers(s): Mitchell E. Herr
Respondent(s): Frank Heinemann, Mark Fidelak, Sebastian Ullmann
Respondent Lawyers(s): Brian Kennedy
Arbitrator(s): David Hirschberg, David I. Goldblatt, Barbara Sullivan-Parry
Hearing Site: New York, NY
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| 09-06242 | 02/24/2012 | Claimant(s): Susan O'Rourke
Claimant Lawyers(s): Andrea M. Paparella
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Paul S. Biederman, Walter M. Schackman, Joshua Mark Zucker
Hearing Site: New York, NY
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| 10-04740 | 02/24/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Michael Espinoza
Respondent Lawyers(s): Kevin P. Cummings
Arbitrator(s): Mary Beth Wheeler, Benjamin A. Kerner, Sharon L. Paul
Hearing Site: Detroit, MI
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| 10-05048 | 02/24/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Frederick Facka
Respondent Lawyers(s): Frederick Facka
Arbitrator(s): Glenn H. Catalano, David Paul Clark, Ramon M. Brinkman
Hearing Site: Richmond, VA
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