| 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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