| 10-04555 | 09/19/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Thomas Akins
Respondent Lawyers(s): F. Scott Pfeiffer
Arbitrator(s): Robert H. Putnam
Hearing Site: Charlotte, NC
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| 11-02557 | 08/29/2011 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christoper A. Pickett
Respondent(s): Joseph Emily, Judson Doster, Morgan Stanley, Richard Phelan
Respondent Lawyers(s): M. Travis Foust, Michael D. Bressan
Arbitrator(s): Robert H. Putnam, Robert C. Port, Joseph Keith Lombino
Hearing Site: Atlanta, GA
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| 10-03974 | 08/23/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Brian R. Mills
Respondent(s): William Griffin
Respondent Lawyers(s): R. Hal Meeks
Arbitrator(s): Robert H. Putnam, Patrick L. Bellantoni, Andy W. Morgan
Hearing Site: Atlanta, GA
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| 11-00151 | 08/04/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Thomas Jones
Respondent Lawyers(s): Thomas Marshall Jones
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
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| 10-02435 | 05/09/2011 | Claimant(s): Succession of Newman Trowbridge
Claimant Lawyers(s): Steven G. "Buzz" Durio
Respondent(s): Rick Schenck, Capital One Investment Services
Respondent Lawyers(s): Frances M. Curran
Arbitrator(s): Robert H. Putnam, James Kee Irvin, Clave E. Gill
Hearing Site: New Orleans, LA
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| 10-03294 | 04/27/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kevin Mccoy
Respondent Lawyers(s): Kevin M. Mccoy
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
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| 10-04830 | 04/13/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Ken S. Massey
Respondent(s): James Lanier
Respondent Lawyers(s): James Ryan Lanier
Arbitrator(s): Robert H. Putnam
Hearing Site: Jacksonville, FL
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| 10-03464 | 02/17/2011 | Claimant(s): Ruth Goldstein
Claimant Lawyers(s): Ruth D. Goldstein
Respondent(s): James Webb, Kathi Mansfield, Cape Securities Inc.
Respondent Lawyers(s): Melissa Malcom
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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| 10-04611 | 02/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kenneth Lannigan
Respondent Lawyers(s): Kenneth Lee Lannigan
Arbitrator(s): Robert H. Putnam
Hearing Site: Columbia, SC
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| 10-03661 | 02/02/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Lee Jenkins
Respondent Lawyers(s): Lee Allen Jenkins
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
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