| 10-01781 | 07/01/2010 | Claimant(s): Fidelity Brokerage Services LLC, FMR LLC
Claimant Lawyers(s): Jennifer A. Kenedy
Respondent(s): Andrew Hermes, Steven O'connor, William Doepker
Respondent Lawyers(s): Grant S. Cowan
Arbitrator(s): Thomas C. Wagner, Emily J. Lewis, Miles D. Hart
Hearing Site: Cincinnati, OH
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| 07-00695 | 06/29/2010 | Claimant(s): Dan Breslauer
Claimant Lawyers(s): Tally M. Wiener
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): James J. Fishman, Hugh N. Fryer, Alice Holly Oshins
Hearing Site: New York, NY
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| 08-01874 | 06/29/2010 | Claimant(s): Associated Financial Group.
Claimant Lawyers(s): G. Thomas Fleming
Respondent(s): Thomas Ensign, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming, Thomas Ensign
Arbitrator(s): Charles D. Underwood, David W. Stanton, Erick R. Zanner
Hearing Site: Columbus, OH
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| 09-05002 | 06/29/2010 | Claimant(s): Michael Kokoszka
Claimant Lawyers(s): Samuel P. Mauch
Respondent(s): Curtis Wright
Respondent Lawyers(s): Joseph H. Spiegel
Arbitrator(s): William P. Thorpe
Hearing Site: Detroit, MI
| | Expungement |
| 09-06424 | 06/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Brian Gass
Respondent Lawyers(s): Brian Lewis Gass
Arbitrator(s): Elwood C. Avery
Hearing Site: Seattle, WA
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| 10-00169 | 06/29/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): William Bartok
Respondent Lawyers(s): William John Bartok
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
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| 09-00176 | 06/28/2010 | Claimant(s): Kevin Dirussa
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Stephen L. Poer
Arbitrator(s): Louis H. Miron, Marvin Schleyer, Daniel P. Lund
Hearing Site: Newark, NJ
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| 09-01452 | 06/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kenneth D. Bingham, Simeon R. Trotter, Robert R. Nursey
Hearing Site: Dallas, TX
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| 09-01642 | 06/28/2010 | Claimant(s): Michael McMahon
Claimant Lawyers(s): Shannon M. McDonough
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James A. Lundberg, Andrew R. Dick, Gary L. Hansen
Hearing Site: Minneapolis, MN
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| 09-04408 | 06/28/2010 | Claimant(s): Nicolas Billeaud
Claimant Lawyers(s): Martin F. Gusy
Respondent(s): HSBC Bank USA, N.A., HSBC North America Holdings., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): David N. Brainin, Franklin P. Chapman, Blossom Nicinski
Hearing Site: New York, NY
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