| 11-01274 | 09/19/2011 | Claimant(s): Renato Virata
Claimant Lawyers(s): Renato Garcia Virata
Respondent(s): Invesco Distributors.
Respondent Lawyers(s): Wes R. McCart
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
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| 10-04186 | 09/16/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Glenn Holbert
Respondent Lawyers(s): Glenn Edward Holbert
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 10-04207 | 09/16/2011 | Claimant(s): Harry Canavesi
Claimant Lawyers(s): Foster S. Goldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason E. Murtagh
Arbitrator(s): Jeffrey M. Bain, Douglas M. Branson, Wrally John Dutkiewicz
Hearing Site: Pittsburgh, PA
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| 10-04246 | 09/16/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry Lipka
Respondent(s): Richard Turnley
Respondent Lawyers(s): Richard Turnley
Arbitrator(s): Mark A. Myers
Hearing Site: Atlanta, GA
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| 11-00284 | 09/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Carl Drury
Respondent Lawyers(s): Carl M. Drury
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Atlanta, GA
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| 11-01196 | 09/14/2011 | Claimant(s): UBS Financial Services Inc., UBS Financial Services Inc of Puerto Ric
Claimant Lawyers(s): Eileen O'Connell Arcuri, Megan A. Smith
Respondent(s): Carmen Sanchez
Respondent Lawyers(s): Carmen Sanchez
Arbitrator(s): Monroe Mitchel
Hearing Site: San Juan, PR
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| 10-02109 | 09/13/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Susan Steckler
Respondent Lawyers(s): Susan Nell Rowe
Arbitrator(s): Keith E. Mattern
Hearing Site: St. Louis, MO
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| 11-00700 | 09/13/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): Kamran Nezami
Respondent Lawyers(s): Aaron G. Ries
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
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| 11-00203 | 09/12/2011 | Claimant(s): Isidore Kaplan
Claimant Lawyers(s): Robert L. Yeager
Respondent(s): Capital Securities Of America., Wunderlich Securities.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
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| 09-07159 | 09/09/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Yana Kromo
Respondent(s): Robert Thompson
Respondent Lawyers(s): Chris T. Vernon
Arbitrator(s): Steven R. Reininger, John Hughes Verchot, Joel David Cowart
Hearing Site: Tampa, FL
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