| 10-05503 | 01/05/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): William Fraley
Respondent Lawyers(s): William C. Fraley
Arbitrator(s): Mark A. Myers, Daniel T. Hull, Suzette Merriam Foster
Hearing Site: Birmingham, AL
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| 11-00334 | 01/05/2012 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Anthony Agbay
Respondent Lawyers(s): John A. Hubbard
Arbitrator(s): Benjamin A. Kerner, John P. Gouttiere, Patrick A. Guentner
Hearing Site: Detroit, MI
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| 11-01351 | 01/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): Ronald G. Parker
Respondent(s): Arrowhead Investment Center
Respondent Lawyers(s): Richard C. Moore
Arbitrator(s): Herbert Leslie Greenberg, James D. Knotter, Harold K. Hunt
Hearing Site: Los Angeles, CA
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| 10-05437 | 01/03/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Renan I . Sugarman
Respondent(s): Joseph Cacia
Respondent Lawyers(s): Joseph Richard Cacia
Arbitrator(s): Mark S. Priver
Hearing Site: Los Angeles, CA
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| 10-01994 | 12/30/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Michael Zenick
Respondent Lawyers(s): Michael David Schimek
Arbitrator(s): Gilbert F. Bach, Barry S. Jacobson, Michele S. Riley
Hearing Site: New York, NY
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| 11-02260 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): William P. Wallenstein
Respondent(s): Ted Shin
Respondent Lawyers(s): Ted Sung-Woo Shin
Arbitrator(s): Robert Rosen
Hearing Site: Los Angeles, CA
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| 11-02549 | 12/30/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Ronald Anglin
Respondent Lawyers(s): Ronald Gene Anglin
Arbitrator(s): Steven Gourley
Hearing Site: Los Angeles, CA
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| 09-06028 | 12/29/2011 | Claimant(s): Andrew Pritchard
Claimant Lawyers(s): Brendan J. O'Rourke
Respondent(s): Cantor Fitzgerald & Co.
Respondent Lawyers(s): Richard J. Rabin
Arbitrator(s): Ted M. Rosen, Stevan J. Bosses, James D. Siegel
Hearing Site: New York, NY
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| 10-03230 | 12/29/2011 | Claimant(s): Barbara Sanborn
Claimant Lawyers(s): Jeffrey L. Cox
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Marilyn G. Moran
Arbitrator(s): Gloria O. North, Mary H. Cory, Judith Ann Ripps
Hearing Site: Boca Raton, FL
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| 11-01177 | 12/29/2011 | Claimant(s): White Pacific Securities.
Claimant Lawyers(s): Christopher Mader
Respondent(s): Wing Lim
Respondent Lawyers(s): Wing Kin Lim
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
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