| 10-03313 | 02/16/2012 | Claimant(s): Bill Callis
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Andrew M. DeLucia
Arbitrator(s): Michael E. Rohde, Patricia B. Lehtola, Thomas Richard Delaney
Hearing Site: Dallas, TX
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| 10-04496 | 02/16/2012 | Claimant(s): Peter Bilden
Claimant Lawyers(s): Eric R. Stern
Respondent(s): Macquarie Capital (USA) Inc.
Respondent Lawyers(s): Robert S. Whitman
Arbitrator(s): David I. Goldblatt, Alvin Green, Robert L. Herskovits
Hearing Site: New York, NY
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| 11-00856 | 02/16/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Ira N. Glauber
Respondent(s): William Bentley
Respondent Lawyers(s): William B. Bentley
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
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| 11-01941 | 02/16/2012 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): John Markland
Respondent Lawyers(s): John Jay Markland
Arbitrator(s): Stephan Paul Carrier
Hearing Site: Baltimore, MD
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| 10-05261 | 02/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Janell M. Ahnert
Respondent(s): Rosalyn Gray
Respondent Lawyers(s): Rosalyn Gray
Arbitrator(s): Thomas L. Maschmeyer, Hal F. Lewis, Mark A. Myers
Hearing Site: Memphis, TN
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| 11-02750 | 02/15/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Tsipras
Respondent(s): William Schwind
Respondent Lawyers(s): William Alfred Schwind
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
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| 11-03197 | 02/15/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Shawn Higley
Respondent Lawyers(s): Shawn Orin Higley
Arbitrator(s): Bernard F. Vail
Hearing Site: Portland, OR
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| 10-02143 | 02/14/2012 | Claimant(s): Rebecca Vandusen
Claimant Lawyers(s): Schuyler D. Geller
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): William F. Dugan
Arbitrator(s): John F Fennig, Richard R. Bicek, Jerome Arthur Connolly
Hearing Site: Chicago, IL
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| 10-02431 | 02/14/2012 | Claimant(s): Marcus Hernandez
Claimant Lawyers(s): Christopher Coss
Respondent(s): E*Trade Securities LLC, E* Trade Financial Corporation
Respondent Lawyers(s): Michael Banks
Arbitrator(s): Daniel J. McCarthy, Timothy J. Tarpey, Joseph H. Danziger
Hearing Site: Philadelphia, PA
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| 11-02435 | 02/14/2012 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly Davis
Respondent(s): Alfonse Stazzone
Respondent Lawyers(s): Alfonse Joseph Stazzone
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
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