| 09-07226 | 05/31/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Judith Stilz Ogden, Harvey R. Linder, William Clay Gilbert
Hearing Site: Atlanta, GA
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| 10-02381 | 05/31/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Charles Daniel
Respondent Lawyers(s): Charles Bradley Daniel
Arbitrator(s): Michael J. Fish
Hearing Site: Los Angeles, CA
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| 09-04721 | 05/27/2011 | Claimant(s): Guy Abbanat
Claimant Lawyers(s): James R. Hubbard
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): G. Robert Abrams, Lawrence M. Green, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
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| 10-00784 | 05/27/2011 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Anthony Diaz
Respondent Lawyers(s): Chad N. Cagan
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
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| 10-01398 | 05/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Christopher Cunningham
Respondent Lawyers(s): Thomas P. Silis
Arbitrator(s): Bonnie K. Wachtel, Caryl S. Bernstein, Karen L. Crump-Wilson
Hearing Site: Washington, DC
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| 10-02304 | 05/27/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Robert Swagger
Respondent Lawyers(s): Walter H. Flamm
Arbitrator(s): William M. Howard, Irving Mindes, Brian A. Maris
Hearing Site: Phoenix, AZ
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| 10-04549 | 05/27/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Frank Baudille
Respondent Lawyers(s): Frank David Baudille
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
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| 10-05005 | 05/27/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Thomas B. Lewis
Respondent(s): Richard Coale
Respondent Lawyers(s): Richard L. Coale
Arbitrator(s): Marilyn J. Salzman
Hearing Site: Philadelphia, PA
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| 10-02308 | 05/26/2011 | Claimant(s): Woodbury Financial Services.
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Brett Bauer
Respondent Lawyers(s): Brett Bauer
Arbitrator(s): James A. Lundberg
Hearing Site: Minneapolis, MN
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| 10-04827 | 05/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Kate S. Arduini
Respondent(s): Matthew Burnham
Respondent Lawyers(s): Matthew J Burnham
Arbitrator(s): Daniel G. Zeiser
Hearing Site: Cleveland, OH
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