| 10-04393 | 12/20/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Steven Glasberg
Respondent Lawyers(s): Steven L. Glasberg
Arbitrator(s): Herbert Murez
Hearing Site: Los Angeles, CA
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| 10-05201 | 12/20/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Antonio Jefferson
Respondent Lawyers(s): Antonio Jefferson
Arbitrator(s): Edward M. Olson
Hearing Site: Detroit, MI
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| 11-01340 | 12/20/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Blake Richards
Respondent Lawyers(s): Blake Bancroft Richards
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 10-03903 | 12/19/2011 | Claimant(s): Leroy Hayes
Claimant Lawyers(s): Leroy Hayes
Respondent(s): Questar Capital Corporation
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Charles A. Bankston, William Edward Buck, Stacey L. Barnes
Hearing Site: Houston, TX
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| 11-01071 | 12/19/2011 | Claimant(s): Cantella & Co..
Claimant Lawyers(s): Jay Lanstein
Respondent(s): Arthur Gerome
Respondent Lawyers(s): Arthur A. Gerome
Arbitrator(s): Roberta Haft, Montgomery G. Griffin, Marie Ann Stein
Hearing Site: Los Angeles, CA
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| 11-01190 | 12/19/2011 | Claimant(s): Peter Triantafillou
Claimant Lawyers(s): Peter Triantafillou
Respondent(s): Bay Crest Partners
Respondent Lawyers(s): Jon Connolly
Arbitrator(s): Martin H. Zern, David Marcus, David J. Weisenfeld
Hearing Site: New York, NY
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| 11-01942 | 12/19/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jessica G. Klein
Respondent(s): Russell Hart
Respondent Lawyers(s): James D. Skaar
Arbitrator(s): William M. Getzoff
Hearing Site: Chicago, IL
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| 11-04123 | 12/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Sean G. Duffy
Respondent(s): Chad Sillman, U.S. Bancorp Investments.
Respondent Lawyers(s): Akke Levin
Arbitrator(s): Thomas D. Tays, Steven K. Lum, Philip H. Marmurowski
Hearing Site: Las Vegas, NV
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| 10-05354 | 12/15/2011 | Claimant(s): Michael Subrizi
Claimant Lawyers(s): Michael Subrizi
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Alun W. Griffiths
Arbitrator(s): Elizabeth Gilbert, Ellyn S. Roth, Alan Gradzki
Hearing Site: New York, NY
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| 10-05557 | 12/15/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): David Song
Respondent Lawyers(s): David Song
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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