10-01986 | 10/21/2010 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Ronald Brown Respondent Lawyers(s): Ronald Lucas Brown Arbitrator(s): Irving A. Chesler Hearing Site: Louisville, KY
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08-04888 | 10/20/2010 | Claimant(s): Stephen Finkelstein Claimant Lawyers(s): Jeffrey L. Liddle Respondent(s): UBS Securities LLC, UBS Global Asset Management (US) Inc. Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Earl S. Schwarz, Howard D. Jacob, Peter A. Kiefer Hearing Site: New York, NY
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10-01894 | 10/20/2010 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Brian S. Hormozi Respondent(s): Francisco Diaz Respondent Lawyers(s): Francisco Alberto Diaz Arbitrator(s): Bruce K. Isenberg Hearing Site: Miami, FL
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10-02098 | 10/20/2010 | Claimant(s): Raymond, James & Associates. Claimant Lawyers(s): Kelli Bullington Respondent(s): Dean Holloway Respondent Lawyers(s): Dean Loughin Holloway Arbitrator(s): Seth L. Finkel Hearing Site: Miami, FL
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10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Matthew Pulsipher Respondent Lawyers(s): Matthew James Pulsipher Arbitrator(s): Dean J. Dietrich Hearing Site: Portland, OR
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09-04960 | 10/18/2010 | Claimant(s): Marc Wolff, Wolff Investment Planning Claimant Lawyers(s): W. Andrew Clayton Respondent(s): Moors & Cabot. Respondent Lawyers(s): David L. Ward Arbitrator(s): Russell W. Merriman, Lawrence Zenville Rosenberg, Robert Knickerbocker Hearing Site: Tampa, FL
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08-04441 | 10/15/2010 | Claimant(s): Debra White Claimant Lawyers(s): John White Respondent(s): CapWest Securities., Capstone Financial Group. Respondent Lawyers(s): Gregory Sherwin Arbitrator(s): Dennis Dowd, Steven Meyrich, Thomas R. Bromberg Hearing Site: Denver, CO
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09-06961 | 10/15/2010 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): Craig D. Stein Respondent(s): Jeffrey Taylor Respondent Lawyers(s): Jeffrey Eugene Taylor Arbitrator(s): George R. Canty Hearing Site: Boca Raton, FL
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09-00584 | 10/14/2010 | Claimant(s): Oppenheimer & Co.. Claimant Lawyers(s): Cory S. Zadanosky Respondent(s): Andrew Aragona Respondent Lawyers(s): Wayne Hartke Arbitrator(s): Harold S. Stern, Richard Charles Hotvedt Hearing Site: Boca Raton, FL
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09-03557 | 10/14/2010 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Ronald P. Kane Respondent(s): Paul Callander Respondent Lawyers(s): Wendy L. Wilkie Arbitrator(s): Harold G. Koger Hearing Site: Columbia, SC
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