| 10-02283 | 01/11/2012 | Claimant(s): Scott Stith
Claimant Lawyers(s): Liane Janovsky
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Marcia A. Washkuhn
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
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| 11-02633 | 01/11/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Joseph Di Vito
Respondent Lawyers(s): Paul A. Conant
Arbitrator(s): David G. Skeen
Hearing Site: Phoenix, AZ
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| 11-02654 | 01/11/2012 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Steven Wright
Respondent Lawyers(s): Timothy W. Boyd
Arbitrator(s): Chandler R Bridges
Hearing Site: Atlanta, GA
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| 10-02884 | 01/10/2012 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Martin Zalin
Respondent Lawyers(s): Martin Harris Zalin
Arbitrator(s): C. Sidney Lester
Hearing Site: New York, NY
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| 11-00895 | 01/10/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Gerard Gremillion
Respondent Lawyers(s): Gerard Chandler Gremillion
Arbitrator(s): Jeffrey R. Jury
Hearing Site: New Orleans, LA
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| 11-02350 | 01/10/2012 | Claimant(s): SWBC Investment Services
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Greg Thompson, Titleist Asset Management, Ltd.
Respondent Lawyers(s): Royal B. Lea
Arbitrator(s): Linda Broocks, Arno C. Schwethelm, Lynne M. Gomez
Hearing Site: Houston, TX
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| 10-01977 | 01/09/2012 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes Hol
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Sandeep Hingorani
Respondent Lawyers(s): Sandeep Hingorani
Arbitrator(s): Michael R. Mitchell, Paul D. Gutierrez, Elmo E. Wedderburn
Hearing Site: Reno, NV
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| 09-06290 | 01/06/2012 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Robert Chan
Respondent Lawyers(s): Christine A. Page
Arbitrator(s): David R. Finch, Martin J. Kotowski, James G. Gillivan
Hearing Site: San Francisco, CA
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| 10-00736 | 01/06/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kelly Hosek
Respondent Lawyers(s): Michael F. Marlow
Arbitrator(s): David A. Youngerman, Hugh J. Perry, Hollie M. Mason
Hearing Site: Omaha, NE
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| 10-02065 | 01/05/2012 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey Manzella
Respondent(s): Andrew Williams
Respondent Lawyers(s): W. Ashton Randall
Arbitrator(s): R. Phillip Reed, Jill M. Zacha, Jay M. Vogelson
Hearing Site: Dallas, TX
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