| 08-02539 | 07/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Schuler
Respondent Lawyers(s): Michael Schuler
Arbitrator(s): C. Gregory Ellison, Gregory R. Banasz, Jason William Gaarder
Hearing Site: Baltimore, MD
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| 08-00340 | 06/22/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): David Strand
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Matthew W. Schlegel, Gregory M. Gendron, Floyd E. Jamison
Hearing Site: Detroit, MI
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| 08-02010 | 05/26/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Chris Rotan
Respondent Lawyers(s): Dan McElroy
Arbitrator(s): R. Dan Mitchell, James P. Kinkade, Larry N. Quinn
Hearing Site: Dallas, TX
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| 08-00465 | 05/07/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Farley
Respondent Lawyers(s): Christopher B. Farley
Arbitrator(s): Donald Whiteman, Victor Elting, Jeffrey S. Fannon
Hearing Site: Chicago, IL
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| 08-00250 | 05/06/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jason Berrisford
Respondent Lawyers(s): Jason R. Berrisford
Arbitrator(s): Emerson R. Marks, Tully C. Tupper, Michael W. Hultzapple
Hearing Site: Richmond, VA
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| 08-04452 | 05/06/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Christopher Hince
Respondent Lawyers(s): Christopher Michael Hince
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
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| 08-01230 | 04/23/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Martin Gerek
Respondent Lawyers(s): Martin Gerek
Arbitrator(s): Charles W. Herf, Marvin J. Klein, Gary L. Freeman
Hearing Site: Las Vegas, NV
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| 08-02145 | 04/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Kim
Respondent Lawyers(s): Michael A. Smeader
Arbitrator(s): Anthony Vitanza, Randolph Guggenheimer, Alan Kenneth Scheff
Hearing Site: Buffalo, NY
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| 08-04173 | 04/22/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Parker
Respondent Lawyers(s): Michael Joe Parker
Arbitrator(s): Robert A. Vogler
Hearing Site: Detroit, MI
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| 08-04115 | 04/14/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gary Shorter
Respondent Lawyers(s): Gary T. Shorter
Arbitrator(s): Victor Elting
Hearing Site: Chicago, IL
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