| 11-00660 | 12/22/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Mark Essenfeld
Respondent Lawyers(s): Channing Blair Hesse
Arbitrator(s): Roland L. Olzark
Hearing Site: Chicago, IL
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| 11-02429 | 12/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Angelina E. Chew
Respondent(s): Robert Langley
Respondent Lawyers(s): Robert John Langley
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
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| 11-02861 | 12/22/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Peter Ryan
Respondent Lawyers(s): Peter Remington Ryan
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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| 10-01925 | 12/21/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William G. Whitman
Respondent(s): John Wilfong
Respondent Lawyers(s): Caroline Smith Gidiere
Arbitrator(s): Sterling N. Frost, John W. Parker, Robert Paul Rathbun
Hearing Site: Memphis, TN
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| 10-05473 | 12/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Larry Kurschner
Respondent Lawyers(s): Larry Scott Kurschner
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 10-05600 | 12/21/2011 | Claimant(s): Peter Goldman
Claimant Lawyers(s): Daniel Felber
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Margaret L. Watson
Arbitrator(s): William E. Nuckel, Mitchell Jay Bayer, Herbert Sue
Hearing Site: New York, NY
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| 11-02407 | 12/21/2011 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): David Lee
Respondent(s): Albert Krauza
Respondent Lawyers(s): Albert J Krauza
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
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| 11-03193 | 12/21/2011 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Samuel P Mauch
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 09-04306 | 12/20/2011 | Claimant(s): Carl Kipper
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Elaine McChesney
Arbitrator(s): Jacqueline W. Marshall, William M Peters, Jennifer L. Bliss
Hearing Site: Albany, NY
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| 10-01793 | 12/20/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Rick Hansen
Respondent Lawyers(s): Stephen F. Boutin
Arbitrator(s): Herb Schwartz
Hearing Site: San Francisco, CA
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