| 10-05095 | 10/11/2011 | Claimant(s): Eugene Wakai
Claimant Lawyers(s): Eugene S. Wakai
Respondent(s): Audrey Kuwabara, Michael Ning
Respondent Lawyers(s): Audrey Mari Kuwabara, Michael Cheng Ning
Arbitrator(s): Hadden Wing Roth
Hearing Site: Honolulu, HI
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| 11-00902 | 10/11/2011 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Richard Klukkert
Respondent Lawyers(s): Richard Klukkert
Arbitrator(s): Charles Sydnor Thompson
Hearing Site: Columbia, SC
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| 11-01854 | 10/11/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): David Neison
Respondent Lawyers(s): David C. Neison
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
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| 10-04059 | 10/10/2011 | Claimant(s): David Herman
Claimant Lawyers(s): Lance Kimmel
Respondent(s): Mosaic Capital Securities
Respondent Lawyers(s): Robert Peter Weiss
Arbitrator(s): Thomas E. Shuck
Hearing Site: Los Angeles, CA
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| 10-02177 | 10/07/2011 | Claimant(s): JonesTrading Institutional Services LLC
Claimant Lawyers(s): Daniel J. Kornstein
Respondent(s): Charles Manning, Douglas Finnegan, Ermenegildo Niutta, Mark Edgar, Meredith Curley, Nomura Securities International.
Respondent Lawyers(s): David Potter, Pearl Zuchlewski, Robin D. Fessel
Arbitrator(s): Alun Hywel Jones, Paul Giappone, Lawrence J. Roth
Hearing Site: New York, NY
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| 11-02056 | 10/07/2011 | Claimant(s): Robert Bickham
Claimant Lawyers(s): Meredith A. Cunningham
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Daniel Rosenbaum
Arbitrator(s): David G. Beerbower
Hearing Site: Houston, TX
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| 10-04203 | 10/06/2011 | Claimant(s): Judy Phinizy
Claimant Lawyers(s): Lewis Harley
Respondent(s): Moody Securities, Llc
Respondent Lawyers(s): J. Randle Henderson
Arbitrator(s): Bertrand C. Moser, Jeff Kilgore, David D. McNally
Hearing Site: Houston, TX
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| 10-00690 | 10/05/2011 | Claimant(s): Regal Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Randy Millen
Respondent Lawyers(s): Randy Millen
Arbitrator(s): Donald W. Cohen, Linda A. Pawlisz, Sondra Sellars
Hearing Site: Chicago, IL
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| 10-04938 | 10/05/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Aaron Hansz
Respondent Lawyers(s): Thomas A. Adams
Arbitrator(s): Mark C. Watler
Hearing Site: Houston, TX
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| 11-01228 | 10/05/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Bruce Lanahan
Respondent Lawyers(s): Bruce G. Lanahan
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
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