| 11-00160 | 08/16/2011 | Claimant(s): Dorothy Calrow
Claimant Lawyers(s): Dorothy D. Calrow
Respondent(s): 1st Global Capital Corp.
Respondent Lawyers(s): Michael A. Pagano
Arbitrator(s): Seymour A. Kolman
Hearing Site: Phoenix, AZ
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| 11-00222 | 08/16/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Gary Brown
Respondent Lawyers(s): Gary J. Brown
Arbitrator(s): Harry B. Endsley
Hearing Site: San Francisco, CA
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| 11-00874 | 08/16/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Robert Brooks
Respondent Lawyers(s): Robert Jay Brooks
Arbitrator(s): Kathy A. Tatone
Hearing Site: Minneapolis, MN
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| 10-03144 | 08/12/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Peter Sagorski
Respondent Lawyers(s): Peter Sagorski
Arbitrator(s): Kathryn M. Welsh
Hearing Site: Orlando, FL
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| 11-00944 | 08/12/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Gary Sargent
Respondent Lawyers(s): Stuart H. Deming
Arbitrator(s): Benjamin A. Kerner
Hearing Site: Detroit, MI
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| 10-01310 | 08/11/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Joseph Stanzi
Respondent Lawyers(s): Anthony J. Hartman
Arbitrator(s): Robert J. Scafuri, Thomas R. Skulina, Marianne L. Simpson
Hearing Site: Cleveland, OH
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| 10-04565 | 08/11/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Alicia Y. Hou
Respondent(s): James Queen
Respondent Lawyers(s): James Allen Queen
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
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| 09-00111 | 08/10/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Stephanie McLaughlin
Respondent(s): Mark Hoffman
Respondent Lawyers(s): David C. Reeves
Arbitrator(s): Patricia Gunn, Thomas Roe Oldt, Lauren S. Puritz
Hearing Site: Orlando, FL
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| 09-05551 | 08/09/2011 | Claimant(s): Michael Ohlfs
Claimant Lawyers(s): George C. Aucoin
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Jesse L. Miller
Arbitrator(s): Arthur E. Otten, Anita Rae Shapiro, Avery B. Goodman
Hearing Site: Denver, CO
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| 09-06144 | 08/09/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Stephen Lowther
Respondent Lawyers(s): Stephen W. Lowther
Arbitrator(s): Harris E. Bunkin, Russell W. Merriman, Thomas G. Moore
Hearing Site: Tampa, FL
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