| 10-00806 | 07/19/2011 | Claimant(s): Steven Auxter
Claimant Lawyers(s): Jon J. Pinney
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Michael N. Ungar
Arbitrator(s): James A. Laurenson, Gregory P. Szuter, Mary K. Flask
Hearing Site: Cleveland, OH
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| 09-02224 | 07/18/2011 | Claimant(s): Wamu Investments.
Claimant Lawyers(s): Christopher B. Wells
Respondent(s): Dag Olov Brandfors, Joshua Hummel, Teresa Herrick
Respondent Lawyers(s): Richard Brady
Arbitrator(s): David W. Evans, Carl J. Carlson, Charles M. Ackerman
Hearing Site: Seattle, WA
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| 10-03203 | 07/18/2011 | Claimant(s): Kevin Schaefer
Claimant Lawyers(s): Jason A. Pollack
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): James A. Goodman
Arbitrator(s): Carlos Richard Mangum, Peter H. Daly, Dean J. Dietrich
Hearing Site: San Francisco, CA
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| 10-01983 | 07/15/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
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| 10-04813 | 07/15/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Thomas Debono
Respondent Lawyers(s): Thomas J. Debono
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
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| 10-02836 | 07/14/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Misty Eslinger
Respondent Lawyers(s): Misty Rae Eslinger
Arbitrator(s): Eugene W. Bronski
Hearing Site: Phoenix, AZ
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| 10-05118 | 07/14/2011 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Albert Poliak
Respondent(s): Steven Sadicario
Respondent Lawyers(s): Steven Lawrence Sadicario
Arbitrator(s): Lawrence Goldberg
Hearing Site: Boca Raton, FL
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| 11-00435 | 07/14/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): William Creamer
Respondent Lawyers(s): William George Creamer
Arbitrator(s): Irving A. Chesler
Hearing Site: Minneapolis, MN
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| 10-03549 | 07/13/2011 | Claimant(s): Deutsche Bank Securities.
Claimant Lawyers(s): Andrew T. Solomon
Respondent(s): Martin Joyce
Respondent Lawyers(s): Megan E. Perrotta
Arbitrator(s): Chesley Oriel, William S. Tagerman, Nickolas F. Monteforte
Hearing Site: Boston, MA
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| 10-04917 | 07/13/2011 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): Ted Poulos
Respondent Lawyers(s): Ted Alex Poulos
Arbitrator(s): Roland L. Olzark
Hearing Site: Pittsburgh, PA
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