| 09-03535 | 08/09/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): John Martfeld
Respondent Lawyers(s): D. Westbrook Doss,
Arbitrator(s): Royce Alan Burns, Donna J. Young, David T. Maddux
Hearing Site: Little Rock, AR
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| 09-04856 | 08/06/2010 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Luigi Spadafora
Respondent(s): William Banks
Respondent Lawyers(s): William M. Banks
Arbitrator(s): Doris Lindbergh
Hearing Site: New York, NY
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| 09-03959 | 08/05/2010 | Claimant(s): Phillip Sielatycki
Claimant Lawyers(s): Laura J Wetsch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Diane C. Fischer
Arbitrator(s): Timothy J. Wright, Charles S. Clayton, Michael J. Pasquale
Hearing Site: Raleigh, NC
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| 09-05543 | 08/05/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Brent Haag
Respondent Lawyers(s): Brent Haag
Arbitrator(s): Raymond Wade Henney
Hearing Site: Detroit, MI
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| 09-05916 | 08/05/2010 | Claimant(s): David Miller
Claimant Lawyers(s): William G. Leonard
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Robert H. Putnam, George S. Willingham, Wallace T. Tanksley
Hearing Site: Atlanta, GA
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| 10-00782 | 08/04/2010 | Claimant(s): E1 Asset Management.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Ched Gelb
Respondent Lawyers(s): Ched J. Gelb
Arbitrator(s): Clarence Smith
Hearing Site: New York, NY
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| 03-00802 | 08/03/2010 | Claimant(s): Raghavan Sathianathan
Claimant Lawyers(s): Raghavan Sathianathan
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Tim DiDomenico
Arbitrator(s): Earl S. Schwarz, Martin A. Edelstein, Jerome M Shafer
Hearing Site: New York, NY
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| 09-02079 | 08/03/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): J. Sciara
Respondent Lawyers(s): J. Michael Sciara
Arbitrator(s): Gary S. Jefferson
Hearing Site: Memphis, TN
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| 09-04975 | 08/03/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): G. Wayne Hillis
Respondent(s): Jason Adams
Respondent Lawyers(s): Craig H. Kuglar
Arbitrator(s): Andrew G. Fellios, Doris Lindbergh, Lynda L. Baker
Hearing Site: Atlanta, GA
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| 09-03272 | 08/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jaymee Kahn
Respondent(s): John Pemberton
Respondent Lawyers(s): John Pemberton
Arbitrator(s): Thomas B. Phillips, Joseph M. Rebein
Hearing Site: Kansas City, MO
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