09-06258 | 06/22/2011 | Claimant(s): Michael Bird Claimant Lawyers(s): Charles A. Stewart Respondent(s): UBS Securities LLC Respondent Lawyers(s): Lauren Malanga Casey Arbitrator(s): Susan C. Lushing, Michael J. Contrastano, Lester Scott Garfinkel Hearing Site: New York, NY
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10-02394 | 06/22/2011 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Michael S. Colombo Respondent(s): David Matthews Respondent Lawyers(s): David Dimuccio Matthews Arbitrator(s): B. J. Krintzman Hearing Site: Boston, MA
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10-04090 | 06/22/2011 | Claimant(s): Lehman Brothers Holdings Inc. as assigne Claimant Lawyers(s): Barry S. Gold Respondent(s): Marlon Smith Respondent Lawyers(s): Marlon R. Smith Arbitrator(s): Sanford S. Stevens Hearing Site: New York, NY
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09-04663 | 06/21/2011 | Claimant(s): Robert Bagby Claimant Lawyers(s): Robert L. Bagby Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Thomas D. Cordell Arbitrator(s): Eli Bensky, Charles A. Bankston, Maurice J. Fallas Hearing Site: Houston, TX
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10-01487 | 06/21/2011 | Claimant(s): Jeffrey Kaufman Claimant Lawyers(s): Romeo Salta Respondent(s): Benny Lorenzo, Craig Kaufman, Gerard Durkin, Kenneth Gurrola, Robert Kaufman, Susan Kaufman, Kaufman Bros. Respondent Lawyers(s): Jason Habinsky Arbitrator(s): William Wong, Alida D. Camp, John F. Duane Hearing Site: New York, NY
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10-01502 | 06/21/2011 | Claimant(s): Thomas Laird Claimant Lawyers(s): David E. Schlesinger Respondent(s): Gerry Hairgrove, James Tricolli, RBC Capital Markets LLC, Stephen Yanisch Respondent Lawyers(s): Kim M. Ruckdaschel-Haley Arbitrator(s): Robert E. Robertson, Mark S. Gleason, Peter N. Thompson Hearing Site: Minneapolis, MN
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10-01032 | 06/20/2011 | Claimant(s): Clarence Frisbee Claimant Lawyers(s): Clarence S. Frisbee Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): James A. Burns Arbitrator(s): William B. Kirby Hearing Site: Helena, MT
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10-01652 | 06/20/2011 | Claimant(s): RBC Capital Markets LLC Claimant Lawyers(s): Patrick J. Howley Respondent(s): James Godsey Respondent Lawyers(s): Gary C. Byler Arbitrator(s): C. Gregory Ellison, Michael E. Scullin, Donita M. King Hearing Site: Norfolk, VA
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10-05147 | 06/20/2011 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Brian S. Hormozi Respondent(s): Keith Anderson Respondent Lawyers(s): Keith G. Anderson Arbitrator(s): J. Maxwell Williams Hearing Site: Atlanta, GA
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09-06212 | 06/17/2011 | Claimant(s): Ameriprise Financial Services. Claimant Lawyers(s): Ronald P. Kane Respondent(s): Jason Peroni Respondent Lawyers(s): Jason M Peroni Arbitrator(s): Arnold M. Marrow, Sandor I. Rabkin, Jane Venckus Zirlis Hearing Site: Manchester, NH
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