| 10-04222 | 03/24/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): Robert Mullen
Respondent Lawyers(s): Robert Bryan Mullen
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
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| 09-03917 | 03/23/2011 | Claimant(s): Southwest Securities.
Claimant Lawyers(s): Brian J. Hurst
Respondent(s): Bryan Luter
Respondent Lawyers(s): Joyce W. Lindauer
Arbitrator(s): Linda B. Kelly, George F. Longino, Margaret Louise Ruckriegel
Hearing Site: Dallas, TX
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| 09-05259 | 03/23/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John C. Steele
Respondent(s): Mark Gardner
Respondent Lawyers(s): Mark Steven Gardner
Arbitrator(s): Bill H. Brister, G. Maynard Green, Larry N. Quinn
Hearing Site: Dallas, TX
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| 09-06845 | 03/23/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shepherd D. Tate
Respondent(s): Michael Cain
Respondent Lawyers(s): Raymond L. Moss
Arbitrator(s): Judith Stilz Ogden, Robert L. Lestina, David Blair Sinyard
Hearing Site: Atlanta, GA
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| 10-02264 | 03/23/2011 | Claimant(s): Michael Turek
Claimant Lawyers(s): Michael G Turek
Respondent(s): Joseph Lapietra
Respondent Lawyers(s): Leo G. Rydzewski
Arbitrator(s): Daniel T. McHugh, Michael J. Henke, Alan Robert Malasky
Hearing Site: Baltimore, MD
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| 10-05397 | 03/23/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Gary Headding
Respondent Lawyers(s): Gary Headding
Arbitrator(s): Robert S. McConnell
Hearing Site: Los Angeles, CA
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| 09-06429 | 03/22/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Ridley
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
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| 10-03855 | 03/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Craig Marcello
Respondent Lawyers(s): Craig S. Marcello
Arbitrator(s): Robert T. Allen
Hearing Site: Charlotte, NC
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| 09-04530 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Shane Wheeler
Respondent Lawyers(s): Shane Wheeler
Arbitrator(s): John P. Cullem, Thomas R. Carlsen, Michael S. Hill
Hearing Site: Tampa, FL
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| 10-00632 | 03/21/2011 | Claimant(s): Karen Kim
Claimant Lawyers(s): Karen H. Kim
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Gabriel L. Williams
Arbitrator(s): Dallas Whitney Coffman, Samuel H. Chorches, Francis J. Pavetti
Hearing Site: Hartford, CT
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