| 09-05181 | 06/07/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Johnathan E. Mansfield
Respondent(s): Kurt Halverstadt, Sean Lehmann
Respondent Lawyers(s): Kurt Halverstadt, Sean Lehmann
Arbitrator(s): F. Conger Fawcett, Cheryl R. Kershner, Linda P. Drucker
Hearing Site: San Francisco, CA
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| 09-05623 | 06/07/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Monica Aguayo
Respondent Lawyers(s): Victor F. Poulos
Arbitrator(s): Raymond E. Tompkins
Hearing Site: Dallas, TX
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| 07-02619 | 06/06/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Ryan
Respondent Lawyers(s): Jeffrey E. Stark
Arbitrator(s): Judith E. Gross, Fred D. Nicolois, Walter John Engels
Hearing Site: New York, NY
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| 08-02399 | 06/06/2011 | Claimant(s): Kimberly Hutcheson
Claimant Lawyers(s): Brian P. Sanford
Respondent(s): Audrey Gibson, Gary Carby, Citigroup Global Markets., Stephen Caine, Citigroup.
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Jeff Abrams, Joseph A. Vicario, Edward S. Koppman
Hearing Site: Dallas, TX
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| 09-05959 | 06/06/2011 | Claimant(s): Iliana Perales
Claimant Lawyers(s): Mark D. Chester
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Paul R. Garry
Arbitrator(s): Howard R. Gaines, Denis Frank, Paul T. Sachs
Hearing Site: Phoenix, AZ
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| 10-03757 | 06/06/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): John Hopkins
Respondent Lawyers(s): John Hagler Hopkins
Arbitrator(s): Donald W. Cohen
Hearing Site: Louisville, KY
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| 11-00329 | 06/06/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Steve Kelly
Respondent Lawyers(s): Steve G. Kelly
Arbitrator(s): Martin Mandel
Hearing Site: Phoenix, AZ
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| 09-01692 | 06/03/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Travis Sheets
Respondent Lawyers(s): Travis N. Sheets
Arbitrator(s): Michael F. Jordan, Robert S. Sugarman, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 10-02638 | 06/03/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Will S. Montgomery
Respondent(s): Michael Venable
Respondent Lawyers(s): Cody L. Towns
Arbitrator(s): R. Theodore Moock, Maryanne M. Esser, Corbet F. Bryant
Hearing Site: Dallas, TX
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| 10-04320 | 06/03/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): John Moran
Respondent Lawyers(s): Brian J. Fruehling
Arbitrator(s): Barry S. Jacobson
Hearing Site: Newark, NJ
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