| 09-01495 | 07/12/2010 | Claimant(s): Frank Grossman
Claimant Lawyers(s): Nicholas P. Iavorone
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Frederic M. Rizzo, Jerome Stern, Jeffrey S. Fannon
Hearing Site: Chicago, IL
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| 09-02596 | 07/12/2010 | Claimant(s): Tommy Sausley
Claimant Lawyers(s): Tommy N. Sausley
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Philip I. McConnell, Mark A. Myers, Michele N. O'Brien
Hearing Site: Houston, TX
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| 10-00595 | 07/12/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Michael Volts
Respondent Lawyers(s): Michael Volts
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
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| 10-00688 | 07/12/2010 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Jeffrey Hollingsworth
Respondent Lawyers(s): Jeffrey Scott Hollingsworth
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
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| 09-04418 | 07/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): William Adelsberger
Respondent Lawyers(s): William G. Adelsberger
Arbitrator(s): Ralph S. Blascovich
Hearing Site: Baltimore, MD
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| 09-04768 | 07/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Clifford Carnes
Respondent Lawyers(s): Clifford K. Carnes
Arbitrator(s): Antoinette C. Robbins
Hearing Site: Columbia, SC
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| 09-04785 | 07/09/2010 | Claimant(s): Daniel Klein
Claimant Lawyers(s): Christine A. Palmieri
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Susan C. Lushing, Joseph D. Cosgrove, Gregory J. Getz
Hearing Site: New York, NY
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| 07-03411 | 07/08/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Charles N. Bland
Respondent(s): Violette Fabio, Wells Fargo and Company
Respondent Lawyers(s): Charles N. Bland, Michael D. Anderson
Arbitrator(s): Michael M. Hachigian, David W. Casey, Joseph M. Fabricatore
Hearing Site: Los Angeles, CA
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| 09-07144 | 07/08/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Anthony Dicesare
Respondent Lawyers(s): Anthony DiCesare
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
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| 09-06682 | 07/07/2010 | Claimant(s): Securities America.
Claimant Lawyers(s): Kelly R. Davis
Respondent(s): Kenneth Osborn
Respondent Lawyers(s): Kenneth Vernond Osborn
Arbitrator(s): Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
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