| 10-05239 | 03/15/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Charles Norvell
Respondent Lawyers(s): Charles R. Norvell
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 09-03002 | 03/14/2011 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Morgan Keegan & Company., Todd Rozzo
Respondent Lawyers(s): Charles M. Dalziel, Marc S. Dobin
Arbitrator(s): Allen Kilik, Ellen J. Abrams, Ronald J. Kovack
Hearing Site: Boca Raton, FL
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| 10-04231 | 03/14/2011 | Claimant(s): Penson Financial Services.
Claimant Lawyers(s): Michelle Young
Respondent(s): James R. McGonigle & Kathleen C. McGonig
Respondent Lawyers(s): James R. McGonigle
Arbitrator(s): Alan J. Blocher, Caryl S. Bernstein, Edward T. Moody
Hearing Site: Wilmington, DE
| | Stipulated Award |
| 10-01184 | 03/11/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen Burns
Respondent(s): Justin Silberman
Respondent Lawyers(s): William Ray Ford
Arbitrator(s): Ronald P. Wertheim
Hearing Site: Washington, DC
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| 10-02377 | 03/11/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Max Jaffee
Respondent Lawyers(s): Max Jaffee
Arbitrator(s): Gary M. Landau
Hearing Site: Boca Raton, FL
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| 10-04771 | 03/11/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Ira N. Glauber
Respondent(s): Denise Rocchio
Respondent Lawyers(s): Denise Rocchio
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
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| 09-01670 | 03/10/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Julie H. Firestone
Respondent(s): Lance Morque
Respondent Lawyers(s): Bruce N. Crawford
Arbitrator(s): Roger D. Johnson, Craig A. Gordon, Laura Kate Wennik
Hearing Site: Minneapolis, MN
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| 09-05736 | 03/10/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Matthew Mall
Respondent(s): Clifford Watts
Respondent Lawyers(s): Matthew K. Rogers
Arbitrator(s): Richard H. Potter, Richard Timothy Curran, Frank V. Tutone
Hearing Site: Charlotte, NC
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| 08-01957 | 03/09/2011 | Claimant(s): "Bruce" Moghaddam-Jafary
Claimant Lawyers(s): Faramarz Moghaddam-Jafary
Respondent(s): Ameriprise Financial Services., Ameriprise Financial.
Respondent Lawyers(s): Bryan C. Keane
Arbitrator(s): David J. Anderson, Christine A. Page, Richard J. Stall
Hearing Site: Los Angeles, CA
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| 09-02316 | 03/09/2011 | Claimant(s): Jay Wilen, Robert Paff
Claimant Lawyers(s): David W. Erb
Respondent(s): AXA Advisors, AXA Network
Respondent Lawyers(s): Kenneth O'Connor
Arbitrator(s): Daniel J. Donovan, Sandra Lee Dolan, William O. SanFord
Hearing Site: Baltimore, MD
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