| 09-05075 | 11/04/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Ross Carmel
Respondent(s): James Morse
Respondent Lawyers(s): James Grant Morse
Arbitrator(s): Michael S. Kozlow
Hearing Site: Boca Raton, FL
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| 09-05533 | 11/04/2010 | Claimant(s): Thomas Vandeventer
Claimant Lawyers(s): James A. Bradley
Respondent(s): Clearbridge Advisors, Legg Mason Investor Services
Respondent Lawyers(s): Dana N. Pescosolido
Arbitrator(s): Romaine L. Gardner, Martin Hunger, Nancy Kramer
Hearing Site: New York, NY
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| 09-05972 | 11/04/2010 | Claimant(s): Ronald Chernesky
Claimant Lawyers(s): Anthony J. Hom
Respondent(s): David Choi
Respondent Lawyers(s): David Choi
Arbitrator(s): Hugh N. Fryer
Hearing Site: New York, NY
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| 10-02040 | 11/04/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Cheryl Cox
Respondent Lawyers(s): Cheryl Clark Cox
Arbitrator(s): Hugh C. Durbin
Hearing Site: Nashville, TN
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| 09-00548 | 11/03/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Cheri Johnson
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Michael W. Reinhardt, Jeanne C. Stilwell, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
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| 09-04668 | 11/03/2010 | Claimant(s): Anthony Cronin, Dusan Nogulovic
Claimant Lawyers(s): James M. Griffin
Respondent(s): Dresdner Kleinwort Securities LLC
Respondent Lawyers(s): Diana Constantino Gomprecht
Arbitrator(s): Margaret M McQueeney, David S. Billet, Francis J. LaSalla
Hearing Site: New York, NY
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| 10-02179 | 11/03/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Gregg W. Marsano
Respondent(s): Carolyn Haik
Respondent Lawyers(s): Carolyn J. Haik
Arbitrator(s): Herb Schwartz
Hearing Site: Honolulu, HI
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| 10-02212 | 11/03/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Christian Erickson
Respondent Lawyers(s): Christian E. Erickson
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Louisville, KY
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| 09-06253 | 11/02/2010 | Claimant(s): Nathaniel Finkin
Claimant Lawyers(s): Nathaniel Finkin
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Joseph E. Gehring
Arbitrator(s): Debra G. Speyer, Jordan Roy Nelson, Fred M. Fleisher
Hearing Site: Philadelphia, PA
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| 10-01889 | 11/02/2010 | Claimant(s): Andrew Wasa, Henry Ferry
Claimant Lawyers(s): Pamela D. Ferry
Respondent(s): Securities America., Sandra Snyder
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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