| 10-03140 | 01/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jason Latorre
Respondent Lawyers(s): Jason Frederick Latorre
Arbitrator(s): Michelle Jacobowitz Gallagher
Hearing Site: New York, NY
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| 09-06132 | 01/03/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Robert Miller
Respondent Lawyers(s): Robert Douglas Miller
Arbitrator(s): David A. Youngerman
Hearing Site: St. Louis, MO
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| 10-02475 | 12/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joel Davis
Respondent Lawyers(s): Joel Bernard Davis
Arbitrator(s): Robert M. Stein
Hearing Site: Portland, OR
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| 09-03802 | 11/15/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rockwell Pearson
Respondent Lawyers(s): Rockwell Stuart Pearson
Arbitrator(s): Leon C. Tupy
Hearing Site: Denver, CO
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| 09-00548 | 11/03/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Cheri Johnson
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Michael W. Reinhardt, Jeanne C. Stilwell, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
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| 09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tracy Wildeman
Respondent Lawyers(s): Tracy Allen Wildeman
Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren
Hearing Site: Phoenix, AZ
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| 10-02457 | 10/19/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Matthew Pulsipher
Respondent Lawyers(s): Matthew James Pulsipher
Arbitrator(s): Dean J. Dietrich
Hearing Site: Portland, OR
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| 08-04546 | 10/05/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Eric Werner
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Jeffrey Steinberg, Felix A. Meschini, Robert W. Ratti
Hearing Site: Philadelphia, PA
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| 09-01179 | 09/28/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tricia Landry
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Roger L. Crossland, Steven R. Rolnick, Jack B. Golden
Hearing Site: Hartford, CT
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| 10-01058 | 09/28/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Megan Gutierrez
Respondent Lawyers(s): Megan Jean Gutierrez
Arbitrator(s): Jeff Abrams
Hearing Site: Albuquerque, NM
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