| 09-04483 | 05/17/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Arroyos
Respondent Lawyers(s): Michael D. Arroyos
Arbitrator(s): Eli Bensky
Hearing Site: Houston, TX
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| 08-05028 | 04/30/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Boyd
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Earl Williams, Howard A. Slater, MBA, CFP, ChFC, Shelly A. Goering
Hearing Site: Cleveland, OH
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| 08-02119 | 04/27/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Snooks
Respondent Lawyers(s): Jane L. Stafford
Arbitrator(s): Roland Pera, Stephen G. Sneeringer, Jerry L. Kaempfe
Hearing Site: Kansas City, MO
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| 08-04881 | 04/23/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Scott Nicol
Respondent Lawyers(s): Mark T. Butler
Arbitrator(s): Larry C. Kreul, D. Michael Kratchman, Garrick A. Rollert
Hearing Site: Detroit, MI
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| 08-01232 | 04/07/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Hicks III
Respondent Lawyers(s): Thomas G. Hicks
Arbitrator(s): Victor B. Taube, Barry A. Mainardi, Vincy S. Stringham
Hearing Site: Salt Lake City, UT
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| 09-04157 | 04/06/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Sidney L. Sussman, David P. McDuffee, Thomas Doyle Blum
Hearing Site: Charlotte, NC
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| 09-05367 | 03/29/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Richard Pascucci
Respondent Lawyers(s): Richard Peter Pascucci
Arbitrator(s): David L. Hoffberg
Hearing Site: Buffalo, NY
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| 09-00064 | 03/16/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Widener
Respondent Lawyers(s): Thomas S. Widener
Arbitrator(s): Bert S Cliff, Scott H Litwin, John R. Michael
Hearing Site: Cincinnati, OH
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| 09-04297 | 03/12/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Lamboy
Respondent Lawyers(s): Jeffrey Lamboy
Arbitrator(s): Norman J. Reich, Isaac M Zucker, Joseph La Rosa
Hearing Site: New York, NY
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| 08-02766 | 03/08/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Porter
Respondent Lawyers(s): Jason A. Richardson
Arbitrator(s): Robert M. Birenbaum, William Edward Buck, Jeffrey R. Jury
Hearing Site: Houston, TX
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