| 10-00061 | 08/27/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher C. Young
Respondent(s): James Tatlow
Respondent Lawyers(s): William J. Galbally
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
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| 06-04643 | 08/26/2010 | Claimant(s): Edward Rubin, John Borer, Michael Vasinkevich, Wesley Clark, Rodman & Renshaw.
Claimant Lawyers(s): Natalie Shkolnik
Respondent(s): Matthew Murray
Respondent Lawyers(s): David J. Katz
Arbitrator(s): Romaine L. Gardner, Andrew E. Reegen, Aaron Friedman
Hearing Site: New York, NY
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| 09-06942 | 08/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tim Dowden
Respondent Lawyers(s): J. Mitchell Little
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
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| 10-00885 | 08/26/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Gary Feldman
Respondent Lawyers(s): Neal M. Goldstein
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
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| 09-05358 | 08/25/2010 | Claimant(s): Mark Kaufman
Claimant Lawyers(s): Alan J. Foxman
Respondent(s): Vfinance Investments
Respondent Lawyers(s): James K. Barbee
Arbitrator(s): Joseph L. Bernstein, Randi Perry Spallina, Connie J. Becker
Hearing Site: Boca Raton, FL
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| 09-03237 | 08/24/2010 | Claimant(s): Hilary Shane
Claimant Lawyers(s): Richard M. Asche
Respondent(s): First New York Securities L.L.C.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Jacob Aschkenasy, James S. Hazard, Randolph Guggenheimer
Hearing Site: New York, NY
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| 09-06520 | 08/24/2010 | Claimant(s): Wells Fargo Investments, Llc
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Donald Duarte
Respondent Lawyers(s): Donald A. Duarte
Arbitrator(s): Alan Stamm
Hearing Site: Los Angeles, CA
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| 09-07050 | 08/24/2010 | Claimant(s): Yvonne Bass
Claimant Lawyers(s): Yvonne Harris Bass
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming Wolfe
Arbitrator(s): Michael E. Curan
Hearing Site: New York, NY
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| 10-01090 | 08/24/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Robert Hassell
Respondent Lawyers(s): Robert D. Hassell
Arbitrator(s): Donald W. Cohen
Hearing Site: Indianapolis, IN
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| 09-01560 | 08/20/2010 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Neda Ataie
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer Lynn Nutter
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
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