| 11-00697 | 02/24/2012 | Claimant(s): Jonathan DeJulio
Claimant Lawyers(s): Jonathan D. DeJulio
Respondent(s): Evan Shear, Walter Crossley
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): William H. Steinbrenner, Alun Hywel Jones, Alan E. Linden
Hearing Site: Orlando, FL
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| 11-01477 | 02/24/2012 | Claimant(s): Morgan Keegan & Company., Susan Schmelzer
Claimant Lawyers(s): Marc S Dobin
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Hallie B. Levin
Arbitrator(s): Robert A. Cohen
Hearing Site: New York, NY
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| 10-01208 | 02/23/2012 | Claimant(s): Stephen Hentschel
Claimant Lawyers(s): Jonathan Harris
Respondent(s): Eastdil Secured, Wachovia Capital Markets, Wells Fargo Securities
Respondent Lawyers(s): Kenneth J. Turnbull
Arbitrator(s): Sandra J. Mullings, John Nino Brenkovich, Marianne C. Hussey
Hearing Site: New York, NY
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| 10-05465 | 02/23/2012 | Claimant(s): Scott Bedford
Claimant Lawyers(s): Bradley S. Odom
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): Anne H. Orr
Hearing Site: Jacksonville, FL
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| 11-00184 | 02/23/2012 | Claimant(s): Lloyd Clark
Claimant Lawyers(s): Malinda Ann Gaul
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Denise Cotter Villani
Arbitrator(s): Kenneth M. Jackson, Juanita D. McKethan, Michael L. Landrum
Hearing Site: Houston, TX
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| 09-04961 | 02/22/2012 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): William Zurn
Respondent Lawyers(s): Jeffrey L. Malek
Arbitrator(s): Alvin L. Fishman, Amy Seltzer, Carol Ann Jensen
Hearing Site: San Francisco, CA
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| 11-00179 | 02/22/2012 | Claimant(s): Eduardo Morkunas
Claimant Lawyers(s): Eduardo Morkunas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): William McCourt Schmitt
Arbitrator(s): Lewis J. Levey
Hearing Site: Miami, FL
| | Expungement |
| 10-04299 | 02/17/2012 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Carrie Bechtold
Respondent(s): Leslie Ingram Miller
Respondent Lawyers(s): Leslie Ann Ingram Miller
Arbitrator(s): Douglas Randall Blohm, Kathryn J. Hoy, Mark S. Gleason
Hearing Site: Minneapolis, MN
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| 10-05348 | 02/17/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Horswell
Respondent Lawyers(s): Kenneth Alan Horswell
Arbitrator(s): James G. Cooper, Michael J. Ahlstrom, Jeff Kilgore
Hearing Site: Houston, TX
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| 10-05416 | 02/17/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Terry James
Respondent Lawyers(s): Terry E. James
Arbitrator(s): Dean J. Dietrich
Hearing Site: Seattle, WA
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