| 09-05666 | 09/14/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Andrew Park
Respondent(s): David Moody
Respondent Lawyers(s): David W. Moody
Arbitrator(s): Cindy L. Anderson
Hearing Site: Orlando, FL
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| 09-07095 | 09/14/2010 | Claimant(s): Eric Weinstein
Claimant Lawyers(s): Eric Lawrence Weinstein
Respondent(s): Citicorp Investment Services
Respondent Lawyers(s): Patricia A. Fitzpatrick
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
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| 10-00565 | 09/14/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Christopher Benedict
Respondent Lawyers(s): Christopher N. Benedict
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
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| 09-05216 | 09/13/2010 | Claimant(s): Gary Miles
Claimant Lawyers(s): Wayne G. Johnson
Respondent(s): Gregory Randall, Jac Tomasello, Southwest Securities., U.S. Brokerage.
Respondent Lawyers(s): Gregory A. Randall, Jac G. Tomasello, Jonathan D. Neerman
Arbitrator(s): Thomas H. Barnard, Elena M. Colianni, William L. White
Hearing Site: Pittsburgh, PA
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| 09-01577 | 09/09/2010 | Claimant(s): David Kronsbein
Claimant Lawyers(s): Vincent B. Lynch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Jana Bruder
Arbitrator(s): Gordon G. Bowles, David M. Snyder, Russell W. Merriman
Hearing Site: Tampa, FL
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| 09-06039 | 09/08/2010 | Claimant(s): Kevin Grier
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Michael H. DuBoff, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
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| 10-00994 | 09/08/2010 | Claimant(s): Black Rose Equity Management
Claimant Lawyers(s): Sandra P. Espinosa
Respondent(s): Eugene Williams
Respondent Lawyers(s): Eugene Leroy Williams
Arbitrator(s): Michael G. Hanlon
Hearing Site: Portland, OR
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| 10-01788 | 09/08/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Richmond, VA
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| 08-04247 | 09/07/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Bryan Ziencik
Respondent Lawyers(s): Gretchen E. Moore
Arbitrator(s): Rita E. Tholt, Neil H. Alexander, Justin Henry McCarthy
Hearing Site: Pittsburgh, PA
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| 10-00038 | 09/07/2010 | Claimant(s): Jesup & Lamont Securities Corp
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Aaron Foley
Respondent Lawyers(s): Peter H. Noone
Arbitrator(s): Martin Jay Siegel, Amy Lampert, Nancy E. Watters
Hearing Site: Boston, MA
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