| 10-01253 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Brian Dabney
Respondent Lawyers(s): Brian W. Dabney
Arbitrator(s): R. Phillip Reed
Hearing Site: Louisville, KY
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| 10-02070 | 03/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Edna Jackson
Respondent Lawyers(s): Daniel D. Hill
Arbitrator(s): Leon Fox
Hearing Site: Minneapolis, MN
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| 09-04307 | 03/17/2011 | Claimant(s): Michael Brennan
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Philip M. Mandel, David S. Billet, Irene C. Warshauer
Hearing Site: New York, NY
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| 09-04182 | 03/16/2011 | Claimant(s): Nina Howerton
Claimant Lawyers(s): Joni M. Fixel
Respondent(s): Chase Investment Services Corp., Mark Calabrese
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Jacqueline R. Fox, Lee Hornberger, Linda M. Foster-Wells
Hearing Site: Detroit, MI
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| 09-04296 | 03/16/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Simeon Thall
Respondent Lawyers(s): Glenn Michaelson
Arbitrator(s): Paul K. Barenholtz, Jeffrey Bega, Donald Raymond McNally
Hearing Site: New York, NY
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| 10-02704 | 03/16/2011 | Claimant(s): Brian Sullivan, McLean Securities
Claimant Lawyers(s): Richard S. Miller
Respondent(s): Guy Perego, Marla Perego, Perego Properties, Perego-North Stafford, Perego-Oakwood
Respondent Lawyers(s): Richard M. Layne
Arbitrator(s): Dean J. Dietrich
Hearing Site: San Francisco, CA
| | Expungement |
| 10-05444 | 03/16/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Morgan Stanley, Stephen Beatty
Respondent Lawyers(s): David A. Stein, Joe Gehring
Arbitrator(s): Aubrey Lees, Mark J. Happe, Royce Russell
Hearing Site: New York, NY
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| 07-03410 | 03/15/2011 | Claimant(s): Dennis Serio
Claimant Lawyers(s): Eric Madden
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Ross Forbes
Arbitrator(s): Edwin J. Tomko, Lawrence R. Maxwell, Mary Day Smelser
Hearing Site: Dallas, TX
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| 10-00833 | 03/15/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Amelie Escher
Respondent Lawyers(s): Amelie S. Escher
Arbitrator(s): Eugene M. Kaufman
Hearing Site: New York, NY
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| 10-04214 | 03/15/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): William Holleran
Respondent Lawyers(s): William James Holleran
Arbitrator(s): Marc H. Schtul
Hearing Site: Denver, CO
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