| 09-06913 | 07/07/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Walter Twetten
Respondent Lawyers(s): Walter Story Twetten
Arbitrator(s): Mary E. Woytek
Hearing Site: Washington, DC
| | |
| 10-00956 | 07/07/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Lloyd Graham
Respondent Lawyers(s): Lloyd William Graham
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | |
| 09-01424 | 07/06/2010 | Claimant(s): David Chappelle, Michael Healy
Claimant Lawyers(s): Louis L. Lesesne
Respondent(s): Bank of America Securities
Respondent Lawyers(s): Patrick J. Lamparello
Arbitrator(s): M. Bruce Adelberg, James Edward Banks, Kenneth B. Orenbach
Hearing Site: Charlotte, NC
| | |
| 09-03398 | 07/06/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Donald Paul
Respondent Lawyers(s): D. Westbrook Doss
Arbitrator(s): James Stephen Jones, Donald R. Winton, Royce Alan Burns
Hearing Site: Little Rock, AR
| | |
| 09-03812 | 07/06/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Chad Henry, David Koch
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Michael L. Weissman, Jeffrey S. Fannon, Samuel Olutola Akeju
Hearing Site: Chicago, IL
| | |
| 08-01341 | 07/02/2010 | Claimant(s): Stephen Ketchum
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Steven D. Hurd
Arbitrator(s): Allan E. Johnson, Jay L. Zelesnick, Adam B. Lass
Hearing Site: New York, NY
| | |
| 09-01920 | 07/02/2010 | Claimant(s): Mark Patterson
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): James M. Baumann, Rick F. Suppa, Dwight Wassong
Hearing Site: Newark, NJ
| | |
| 09-03339 | 07/02/2010 | Claimant(s): Phillip Newman
Claimant Lawyers(s): Brian M Cige
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Kathleen O'Malley
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 08-01194 | 07/01/2010 | Claimant(s): Trident Partners Ltd
Claimant Lawyers(s): Eugene L. Small
Respondent(s): Brian Schantz, Edward Flynn, Francine Lanaia, Timothy Flynn, Alexander Capital, L.P.
Respondent Lawyers(s): Carl Lanzisera, Eugene L. Small, Francine A. Lanaia
Arbitrator(s): Sandra J. Mullings, Anthony J. Raimondi, Richard C. Bell
Hearing Site: New York, NY
| | |
| 09-01863 | 07/01/2010 | Claimant(s): Joseph Amundsen
Claimant Lawyers(s): Joseph S. Amundsen
Respondent(s): Aaron Gilbert, Daniel Overmyer, Edward Overmyer, Jamie Cawley, Jesse Bookheim, COPS Worldwide., IDX Derivatives, Morton International Corporation
Respondent Lawyers(s): Aaron Gilbert, Compliance Officer, Daniel Overmyer, Edward Overmyer, George Brunelle, Jesse Louis Bookheim
Arbitrator(s): Ernest Fanwick, Joan M. Traub, Paul R. Walsh
Hearing Site: New York, NY
| | |
