| 10-05160 | 11/18/2011 | Claimant(s): Hang Bui
Claimant Lawyers(s): Walter Birkel
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Joan M. Traub, Daniel P. Lund, Michael L.B. Kaplan
Hearing Site: Newark, NJ
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| 10-03827 | 11/17/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): William Northend
Respondent Lawyers(s): Kevin B. Kevorkian
Arbitrator(s): Martin Mandel
Hearing Site: San Francisco, CA
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| 10-05120 | 11/17/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Patrick Broderick
Respondent Lawyers(s): Patrick Broderick
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
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| 11-01523 | 11/17/2011 | Claimant(s): Michael Williamson
Claimant Lawyers(s): A. Andrew OBeidy
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Monroe Mitchel, Robert K. Ruskin, Howard L. Conklin
Hearing Site: Ft. Lauderdale, FL
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| 11-02458 | 11/17/2011 | Claimant(s): Steven Horn
Claimant Lawyers(s): David E. Robbins
Respondent(s): Whitehall Wellington Investments.
Respondent Lawyers(s): Stuart Weinberg
Arbitrator(s): Joseph B. Russell, Richard D. Chusid, Clive I. Morrick
Hearing Site: New York, NY
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| 09-03353 | 11/16/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Kevin Caputo
Respondent Lawyers(s): Kevin J. Caputo
Arbitrator(s): J. Jean Elliott, Edward J. Costello, Ronald D. Goldman
Hearing Site: Los Angeles, CA
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| 09-06379 | 11/16/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Richard Rothenberg
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David N. Brainin, Kenneth L. Stewart, Catherine I. Gulevich
Hearing Site: New York, NY
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| 09-06504 | 11/16/2011 | Claimant(s): Patrick Mendenhall
Claimant Lawyers(s): Brian E. Bro
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert L. Ivey
Arbitrator(s): Nathan Levy, Jeff Kilgore, Mary Esther Escobedo
Hearing Site: Houston, TX
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| 10-00952 | 11/16/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Mark Graham
Respondent Lawyers(s): Robert J. Girard, II
Arbitrator(s): Robert M. Stein, Kevin I. Patrick, William R. Hickman
Hearing Site: Seattle, WA
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| 11-00367 | 11/16/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Osborn
Respondent Lawyers(s): Thomas Preston Osborn
Arbitrator(s): Phillip Barry Wise, Allen D. Schwartz, Enrico A. Mazzoli
Hearing Site: Louisville, KY
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