| 09-05848 | 12/13/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Luken Carp
Respondent(s): Jeffrey Stanley
Respondent Lawyers(s): Jeffrey Michael Stanley
Arbitrator(s): James D. Knotter
Hearing Site: Phoenix, AZ
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| 10-01889 | 11/02/2010 | Claimant(s): Andrew Wasa, Henry Ferry
Claimant Lawyers(s): Pamela D. Ferry
Respondent(s): Securities America., Sandra Snyder
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 10-02359 | 10/25/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): David Lamarche
Respondent Lawyers(s): David Edward Lamarche
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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| 09-00492 | 09/30/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): Avelino Cortina
Respondent Lawyers(s): Dana Robinson
Arbitrator(s): Fred T. Kallet, James D. Knotter, Katherine Jane Morris
Hearing Site: San Diego, CA
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| 10-01432 | 08/18/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Ian Stowers
Respondent Lawyers(s): Ian Karl Stowers
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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| 10-01492 | 08/17/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Justin Hensley
Respondent Lawyers(s): Justin M. Hensley
Arbitrator(s): James D. Knotter
Hearing Site: Las Vegas, NV
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| 10-00956 | 07/07/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Devin A. Donohue
Respondent(s): Lloyd Graham
Respondent Lawyers(s): Lloyd William Graham
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
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| 09-06124 | 04/26/2010 | Claimant(s): Richard Royce Palmer IRA
Claimant Lawyers(s): Richard Royce Palmer
Respondent(s): Carl Morrison, Edward Jones
Respondent Lawyers(s): Carl Kirby Morrison, Dennis J. Capriglione
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
|  | $7,506 |
| 09-04746 | 03/08/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): John Heil
Respondent Lawyers(s): John H. Heil
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
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| 06-03920 | 10/19/2007 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald S. Kravitz
Respondent(s): David Kauffman
Respondent Lawyers(s): Matthew G. English
Arbitrator(s): James D. Knotter, Katherine Jane Morris, Robert E. Witt
Hearing Site: San Diego, CA
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