| 10-05207 | 08/30/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Michael Leake
Respondent Lawyers(s): Bryce H. Bennett
Arbitrator(s): James L. Karpen
Hearing Site: Detroit, MI
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| 10-01249 | 08/29/2011 | Claimant(s): Lisa Francis
Claimant Lawyers(s): Lisa Melinda Francis
Respondent(s): Bluestone Capital Corporation
Respondent Lawyers(s): Matthew Gohd
Arbitrator(s): David L. Binhak, Daniel Robbins, Annamaria Boccia Smith
Hearing Site: New York, NY
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| 10-05747 | 08/29/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): Russell Hill
Respondent Lawyers(s): Russell Marvin Hill
Arbitrator(s): W. William Harness
Hearing Site: Atlanta, GA
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| 11-01810 | 08/29/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): James Herrick
Respondent Lawyers(s): Kraig H. Koach
Arbitrator(s): Mimi B. Osiason
Hearing Site: Tampa, FL
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| 11-02557 | 08/29/2011 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christoper A. Pickett
Respondent(s): Joseph Emily, Judson Doster, Morgan Stanley, Richard Phelan
Respondent Lawyers(s): M. Travis Foust, Michael D. Bressan
Arbitrator(s): Robert H. Putnam, Robert C. Port, Joseph Keith Lombino
Hearing Site: Atlanta, GA
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| 10-03278 | 08/26/2011 | Claimant(s): Steven Casull
Claimant Lawyers(s): Steven J. Casull
Respondent(s): Eagle Gate Securities.
Respondent Lawyers(s): Rodger A. Nye
Arbitrator(s): Peggy Peterson, A. O. Headman, Marilyn R. Lewis
Hearing Site: Salt Lake City, UT
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| 11-00096 | 08/26/2011 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Richard Yantis
Respondent Lawyers(s): Eric W. Johnson
Arbitrator(s): Robert S. Burk
Hearing Site: Des Moines, IA
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| 11-01130 | 08/26/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Jon Reyerson
Respondent Lawyers(s): Clayton D. Halunen
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
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| 10-03257 | 08/25/2011 | Claimant(s): Richard Denerstein
Claimant Lawyers(s): Dan A. Druz
Respondent(s): Lawrence Brazie, Westminster Financial Securities.
Respondent Lawyers(s): Edward D. Muransky
Arbitrator(s): Richard J. Grahn, Pamela E. Berman, Peter Andrew Marx
Hearing Site: Boston, MA
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| 11-01401 | 08/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Warren Weems, III
Respondent Lawyers(s): Warren Alfred Weems, III
Arbitrator(s): William M. Howard
Hearing Site: Phoenix, AZ
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