| 08-03790 | 05/10/2011 | Claimant(s): Charles Churchill
Claimant Lawyers(s): Richard J. Braun
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley
Hearing Site: New York, NY
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| 10-00550 | 05/10/2011 | Claimant(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alfred Keyser
Respondent Lawyers(s): Alfred Keyser
Arbitrator(s): John A. Gray, Stephanie Jean Malevich, Gerald B. Marcovsky
Hearing Site: Washington, DC
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| 10-01020 | 05/10/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Robert Durham, William Cashman
Respondent Lawyers(s): Jacqueline Jackson-DeGarcia, Jason G. Benion
Arbitrator(s): Paul J. Greco, James T. McLaughlin, Mark H. Stein
Hearing Site: Philadelphia, PA
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| 10-04198 | 05/10/2011 | Claimant(s): Primary Capital
Claimant Lawyers(s): Gregory P. Vidler
Respondent(s): Richard Dorsi
Respondent Lawyers(s): Carol Witschel
Arbitrator(s): Kenneth M. Felder
Hearing Site: New York, NY
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| 09-01289 | 05/09/2011 | Claimant(s): PMW Partners d/b/a Capital Trust Wealth
Claimant Lawyers(s): Eugene N. Bulso
Respondent(s): RBC Centura Banks., NBC Securities.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Richard L. Oates, Richard G. Isaac, Kenneth I. Daniels
Hearing Site: Birmingham, AL
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| 09-04108 | 05/09/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Abe Lampart
Respondent(s): William Creedon
Respondent Lawyers(s): Michael Blumenfeld
Arbitrator(s): Alvin S. Milder, Cathleen M. Cobb, Bryan L. Herrmann
Hearing Site: Los Angeles, CA
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| 10-03177 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): David Baum
Respondent Lawyers(s): John H. Peavy
Arbitrator(s): Frank W. Virgin, Cheryl A. Hooks, John F. O'Neill
Hearing Site: Atlanta, GA
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| 10-04548 | 05/09/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): John Arquette
Respondent Lawyers(s): John Robert Arquette
Arbitrator(s): Guenter S. Cohn
Hearing Site: San Diego, CA
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| 10-05132 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael D. Lee
Respondent(s): Michael Maehl
Respondent Lawyers(s): Michael Maehl
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
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| 08-00584 | 05/06/2011 | Claimant(s): Jeanine Thompson, Lauren Vitagliano
Claimant Lawyers(s): Greg Martello
Respondent(s): George Tamborello, John Wilson
Respondent Lawyers(s): George M. Tamborello, Raymond Nardo
Arbitrator(s): Saul Scheier, Richard Adam Young, David Ross
Hearing Site: New York, NY
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