| 10-00145 | 03/09/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Homer Vining
Respondent Lawyers(s): Homer Vining
Arbitrator(s): Hugh J. Moore
Hearing Site: Atlanta, GA
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| 10-00405 | 03/08/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Richard Cobb
Respondent Lawyers(s): Richard Cobb
Arbitrator(s): Caryl S. Bernstein
Hearing Site: Raleigh, NC
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| 10-00727 | 03/08/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): John Stearns
Respondent Lawyers(s): Donald M. Feferman
Arbitrator(s): David G. Beerbower, Jeff Kilgore, Maurice J. Fallas
Hearing Site: Houston, TX
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| 10-02050 | 03/08/2011 | Claimant(s): Byron Meads, John Wyllys, Max Manack
Claimant Lawyers(s): Neil S. Baritz
Respondent(s): Milton and Dorothy Aronowitz
Respondent Lawyers(s): Scott L. Silver
Arbitrator(s): Robert B. Kane, Frances D. Sheehy, Charles Hoffman
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-02603 | 03/08/2011 | Claimant(s): Richard Marin
Claimant Lawyers(s): Jamie L. Halavais
Respondent(s): Racetrac Petroleum., Rackley Inv., Barry S. Burdick Living Trust
Respondent Lawyers(s): Barry S. Burdick, Carl Bolch, Clifford Rackley
Arbitrator(s): Robert A. Vaccaro, Anna M. Fanelli, George E. Kroon
Hearing Site: New York, NY
| | Expungement |
| 08-04477 | 03/07/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Gregory Ramirez
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John B. Wells, Stephen B. Benton, Gerald C. Tambe
Hearing Site: Los Angeles, CA
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| 09-05958 | 03/07/2011 | Claimant(s): Octavio Torres
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): David Walker, Hartford Life Distributors f/k/a Planco
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Evan A. Gould, Thomas L. Marshall, Mack Reed Christian
Hearing Site: San Diego, CA
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| 09-06020 | 03/07/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): William Livingston Coster
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Maxel (Bud) B. Silverberg, Juanita D. McKethan, Marjorie C. Johnson
Hearing Site: Houston, TX
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| 10-05050 | 03/07/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Isom
Respondent Lawyers(s): Robert C. Isom
Arbitrator(s): Peter B. Vaden
Hearing Site: Columbia, SC
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| 09-06979 | 03/04/2011 | Claimant(s): SagePoint Financial Inc.
Claimant Lawyers(s): Michael B. Cosentino
Respondent(s): Steven Conners
Respondent Lawyers(s): Steven Craig Conners
Arbitrator(s): Richard L. Ricketts, William E. Hartsfield, Maria Salapska
Hearing Site: Phoenix, AZ
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