09-06580 | 10/11/2010 | Claimant(s): Thomas Tripp Claimant Lawyers(s): B. Scott Whipple Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Nathan R. Jaskowiak Arbitrator(s): Keith C. Folkman, Gary F. Purpura, Gregory N. Smith Hearing Site: Portland, OR
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09-03587 | 10/08/2010 | Claimant(s): Thomas Whalen Claimant Lawyers(s): Laurence S. Moy Respondent(s): Barclays Capital Inc. Respondent Lawyers(s): Robin D. Fessel Arbitrator(s): Joseph J. Arata, Melvin S. Slade, Joseph Louis Sherman Hearing Site: New York, NY
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09-03681 | 10/08/2010 | Claimant(s): Shanawaz Basith Claimant Lawyers(s): Catherine E. Anderson Respondent(s): J.P. Morgan Securities Respondent Lawyers(s): Frederic L. Lieberman Arbitrator(s): Marilyn J. Salzman, Peter A. Goldman, Alan Gradzki Hearing Site: New York, NY
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10-01963 | 10/07/2010 | Claimant(s): Morgan Stanley Claimant Lawyers(s): Mauricio S. Beugelmans Respondent(s): Brent Hawk Respondent Lawyers(s): John L. Senft Arbitrator(s): E. William Pastor Hearing Site: Baltimore, MD
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10-02041 | 10/07/2010 | Claimant(s): Wells Fargo Advisors Claimant Lawyers(s): James Van Dyke Respondent(s): Pamela Lonzo Respondent Lawyers(s): Pamela M. Olah Arbitrator(s): Carole M. Crosby Hearing Site: Chicago, IL
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08-04980 | 10/06/2010 | Claimant(s): Timothy Stevens Claimant Lawyers(s): David I. Greenberger Respondent(s): Deutsche Bank Securities. Respondent Lawyers(s): Theodore Snyder Arbitrator(s): George Sommerfeld, Alex Cohen, Ellyn S. Roth Hearing Site: New York, NY
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09-01288 | 10/06/2010 | Claimant(s): Morgan Keegan & Company. Claimant Lawyers(s): Eric Jon Taylor Respondent(s): Jeremy Tintle Respondent Lawyers(s): Jeremy G. Tintle Arbitrator(s): Perry Lee Taylor, Michael J. Stern, Bonnie B. Revoner Hearing Site: Atlanta, GA
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09-04529 | 10/06/2010 | Claimant(s): Lazard Asset Management LLC, Lazard Asset Management Securities LLC Claimant Lawyers(s): Jason C. Rubinstein Respondent(s): Kris Haber Respondent Lawyers(s): Alan R. Friedman Arbitrator(s): Donald J. Zoeller, John B. Myers, Michele S. Riley Hearing Site: New York, NY
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10-02401 | 10/06/2010 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Brian S. Hormozi Respondent(s): Shannon Ness-Jackson Respondent Lawyers(s): Shannon M. Ness-Jackson Arbitrator(s): Bruce K. Isenberg Hearing Site: Tampa, FL
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08-04546 | 10/05/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Eric Werner Respondent Lawyers(s): Christopher R. Travis Arbitrator(s): Jeffrey Steinberg, Felix A. Meschini, Robert W. Ratti Hearing Site: Philadelphia, PA
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