| 10-03345 | 07/06/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Stuart Pearl
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Donald W. Cohen
Hearing Site: Chicago, IL
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| 11-00061 | 06/16/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kaream White
Respondent Lawyers(s): Kaream Hassan White
Arbitrator(s): Mandel E. Himelstein
Hearing Site: Phoenix, AZ
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| 09-05623 | 06/07/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Monica Aguayo
Respondent Lawyers(s): Victor F. Poulos
Arbitrator(s): Raymond E. Tompkins
Hearing Site: Dallas, TX
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| 09-01692 | 06/03/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Travis Sheets
Respondent Lawyers(s): Travis N. Sheets
Arbitrator(s): Michael F. Jordan, Robert S. Sugarman, Suanne F. Goldman
Hearing Site: Chicago, IL
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| 10-04926 | 04/27/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Khairi Abdur-Rahman
Respondent Lawyers(s): Khairi Dwayne Abdur-Rahman
Arbitrator(s): Steven R. Rolnick
Hearing Site: Boston, MA
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| 10-05227 | 04/27/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Ben Rosenberg
Respondent Lawyers(s): Ben Elliot Rosenberg
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Houston, TX
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| 09-04962 | 04/04/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Paul Erenfeld
Respondent Lawyers(s): David Sacks
Arbitrator(s): Jeanne C. Stilwell, Joseph W. Cheek, Dean K. Morell
Hearing Site: Portland, OR
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| 09-03810 | 03/24/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Martin
Respondent Lawyers(s): Richard E. Olson
Arbitrator(s): David W. Martin, Mary E. Lockett, LeRoy Melvin Gilbertson
Hearing Site: Albuquerque, NM
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| 09-06429 | 03/22/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Ridley
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
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| 09-03964 | 01/26/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Curtis Lund
Respondent Lawyers(s): Curtis V. Lund
Arbitrator(s): Deborah C. Bernot
Hearing Site: Albuquerque, NM
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