| 10-00008 | 05/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Cailin Heilig
Respondent(s): Eric Matheson
Respondent Lawyers(s): David N. Mair
Arbitrator(s): Gary W. Pollack, Marc T. Danon, Mark David Hunter
Hearing Site: Boca Raton, FL
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| 10-01650 | 05/18/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Cecil Creasy
Respondent Lawyers(s): J. Anthony Penry
Arbitrator(s): Peter B. Vaden, Fred Kelner, Dwayne Thomas McKinley
Hearing Site: Raleigh, NC
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| 10-02310 | 05/18/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Ernest W. Irons
Respondent(s): Thomas Aylmer
Respondent Lawyers(s): Thomas C. Aylmer
Arbitrator(s): Mary Beth Wheeler
Hearing Site: Chicago, IL
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| 11-00406 | 05/18/2011 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Lauren Lezak
Respondent(s): Peter Bonnell
Respondent Lawyers(s): Peter Joseph Bonnell
Arbitrator(s): Lee Hornberger
Hearing Site: Cleveland, OH
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| 09-06485 | 05/17/2011 | Claimant(s): Matthew Scoble
Claimant Lawyers(s): Matthew J. McDonald
Respondent(s): Blaylock & Partners, L.P.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Romaine L. Gardner, Preston V. Pumphrey, Sheryl-Anne Sastow
Hearing Site: New York, NY
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| 10-01147 | 05/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Gregg Whelan
Respondent Lawyers(s): Gregg Whelan
Arbitrator(s): Martin Perlberger
Hearing Site: Los Angeles, CA
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| 10-01332 | 05/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Walter McKinney
Respondent Lawyers(s): Graham Oswald
Arbitrator(s): William M. Getzoff
Hearing Site: St. Louis, MO
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| 10-02344 | 05/17/2011 | Claimant(s): Thomas Ilko
Claimant Lawyers(s): Thomas Ilko
Respondent(s): Kershner Securities
Respondent Lawyers(s): David A. Shargel
Arbitrator(s): Dale S. Cronnell, B. John Dill, David B. Beizer
Hearing Site: Hartford, CT
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| 10-02380 | 05/16/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Michael Gibson
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Martin J. Kotowski
Hearing Site: San Francisco, CA
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| 10-01111 | 05/11/2011 | Claimant(s): Charles Raney
Claimant Lawyers(s): Curtis Carlson
Respondent(s): SunTrust Robinson Humphrey.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Richard J. Fuller, Greg Knight, Raymond E. Cornelius
Hearing Site: Orlando, FL
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