09-00081 | 03/04/2010 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Diane C. Fischer Respondent(s): William Van Cleve Respondent Lawyers(s): Charles M. Hamilton Arbitrator(s): William E. Barker, Henry Hermann, Simeon R. Trotter Hearing Site: Dallas, TX
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09-04965 | 02/23/2010 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): William Ferguson Respondent Lawyers(s): William Allen Ferguson Arbitrator(s): Harold Engelman Hearing Site: Raleigh, NC
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08-04560 | 02/18/2010 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Kevin Trizila Respondent Lawyers(s): Kevin M. Trizila Arbitrator(s): William E. Barker, Todd R. Gough, Karen J. Zvonecek Hearing Site: Dallas, TX
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09-00251 | 01/22/2010 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Chad Caros Respondent Lawyers(s): Chad Caros Arbitrator(s): Daniel C. Kriser, Daniel Baruch Lidawer, Joseph D. Savino Hearing Site: Chicago, IL
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08-04065 | 01/13/2010 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Steven Newman Respondent Lawyers(s): Steven Arthur Newman Arbitrator(s): Edith M. Novack, Simone A. Muscarnera, Jeffrey H. Rosenthal Hearing Site: Newark, NJ
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09-02038 | 12/22/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Kevin Carroll Respondent Lawyers(s): Brian D. Rich Arbitrator(s): Jack B. Golden Hearing Site: Hartford, CT
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08-03834 | 12/10/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Bradley Stipp Respondent Lawyers(s): Fred B. Monroe Arbitrator(s): Charles Glass Smith, Barry M. Cheren, Kenneth B. Orenbach Hearing Site: Charlotte, NC
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09-03029 | 12/09/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Joseph Morrow Respondent Lawyers(s): Joseph H. Morrow Arbitrator(s): Paul K. Barenholtz Hearing Site: New York, NY
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09-01681 | 11/30/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Bernard Cerrone Respondent Lawyers(s): Bernard John Cerrone Arbitrator(s): Christine Armstrong, Michael L. Letendre, John B. Dew Hearing Site: Augusta, ME
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08-00743 | 10/12/2009 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Mark Hopkins Respondent Lawyers(s): Mark D. Hopkins Arbitrator(s): Lonnie L. Cunningham, Thomas P. Hoover, Christopher Daniel Gryzen Hearing Site: Kansas City, MO
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