| 10-01654 | 04/11/2011 | Claimant(s): James Mosher
Claimant Lawyers(s): James M. Mosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathleen M. McDowell
Arbitrator(s): David J. Anderson, Kenneth E. Owen, Randall N. Kirk
Hearing Site: Los Angeles, CA
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| 10-04216 | 04/11/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Michael Harrill
Respondent Lawyers(s): Michael Ray Harrill
Arbitrator(s): Jeffrey M. Bain
Hearing Site: Omaha, NE
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| 10-04702 | 04/11/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Michael Sonnichsen
Respondent Lawyers(s): David J. Hase
Arbitrator(s): Herbert H. Neuer
Hearing Site: Milwaukee, WI
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| 09-02124 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jack D. Ballard
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): Frank M. Romano, William M. Lacy, Charles S. Chester
Hearing Site: Houston, TX
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| 09-04352 | 04/08/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Todd Ratner
Respondent(s): Mitchell Yanow
Respondent Lawyers(s): Mitchell T. Yanow
Arbitrator(s): Bernard S. Carrey, Harry Dressler, Laura Jane Starr
Hearing Site: Boca Raton, FL
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| 09-01741 | 04/07/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): David Gillimore
Respondent Lawyers(s): Richard A. Hoyer
Arbitrator(s): Nancy Hutt, Peter H. Daly, Harvey M. Baraban
Hearing Site: San Francisco, CA
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| 10-00380 | 04/07/2011 | Claimant(s): Christopher Hutchinson
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Paul H. McKenna, Kathleen K. Murphy, James J. Puhala
Hearing Site: Pittsburgh, PA
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| 10-05459 | 04/07/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Mauricio S. Beugelmans
Respondent(s): Denise Otten
Respondent Lawyers(s): Denise G. Otten
Arbitrator(s): Jack Friedman
Hearing Site: Newark, NJ
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| 09-06522 | 04/06/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Michael J. Albert
Respondent(s): Mark Monin
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
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| 10-01365 | 04/06/2011 | Claimant(s): Melba Fredericks
Claimant Lawyers(s): Francis X. Duda,
Respondent(s): Bradford Sharpe, Uvest Financial Services Group., The Bank of Edwardsville
Respondent Lawyers(s): John A. Bruegger, Matthew V. Bartle
Arbitrator(s): Alan A. Sachs, Richard Lawrence Gowan, Donald W. Moriarty
Hearing Site: St. Louis, MO
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