| 08-03030 | 07/22/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Theodore R. Snyder
Respondent(s): Eric Butler, Julian Tzolov
Respondent Lawyers(s): Julian Tzolov, Zachary H. Johnson
Arbitrator(s): David Hirschberg, Charles S. Guggenheimer, William P. Laino
Hearing Site: New York, NY
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| 09-02619 | 07/22/2010 | Claimant(s): Matthew Weisberg
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): J. Michael Riordan
Arbitrator(s): John R. Main, Harvey Frank, Patrick R. Sughroue
Hearing Site: Detroit, MI
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| 09-07107 | 07/22/2010 | Claimant(s): David A. Noyes & Company
Claimant Lawyers(s): Robert L. Cram
Respondent(s): Brian Harris
Respondent Lawyers(s): Brian J. Harris
Arbitrator(s): James F. Carlson
Hearing Site: Chicago, IL
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| 08-01356 | 07/21/2010 | Claimant(s): Dorene Dorn
Claimant Lawyers(s): Dorene K. Dorn
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): John Richard Lynch, Kenneth Dymond, Brian F. Mumford
Hearing Site: Albany, NY
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| 09-07249 | 07/21/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): John D. Miller
Respondent(s): Robert Szigeti
Respondent Lawyers(s): Robert Joseph Szigeti
Arbitrator(s): Walter M. Schackman
Hearing Site: Philadelphia, PA
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| 09-03246 | 07/20/2010 | Claimant(s): NRP Advisors. Inc., NRP Financial., National Retirement Partners.
Claimant Lawyers(s): John C. Holmes
Respondent(s): Jeffrey Bafs, Wade Walker, Walker Bafs Retirement Group.
Respondent Lawyers(s): Scott C. Matasar
Arbitrator(s): Sharon R. Merriman, Lawrence W. Arness, John W. Guy
Hearing Site: Indianapolis, IN
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| 10-01324 | 07/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Elison Elliott
Respondent Lawyers(s): Elison Joseph Elliott
Arbitrator(s): Robert Pincus
Hearing Site: New York, NY
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| 09-03941 | 07/15/2010 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Mark Graham
Respondent Lawyers(s): Daniel P. Dietrich
Arbitrator(s): Benjamin E. Fisher, Ruth C. Adrian, Ian S. Greig
Hearing Site: Tampa, FL
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| 09-04541 | 07/15/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Lawrence Wood
Respondent Lawyers(s): Lawrence Todd Wood
Arbitrator(s): Nicholas John Taldone
Hearing Site: Atlanta, GA
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| 09-05774 | 07/15/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Michael Lopez
Respondent Lawyers(s): Michael W. Lopez
Arbitrator(s): Richard M. Norman
Hearing Site: Los Angeles, CA
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