| 10-04155 | 07/18/2012 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Alan Hollingsworth
Respondent Lawyers(s): Paul E. Tinkler
Arbitrator(s): Donald B. Vaden
Hearing Site: Columbia, SC
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| 10-00736 | 01/06/2012 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kelly Hosek
Respondent Lawyers(s): Michael F. Marlow
Arbitrator(s): David A. Youngerman, Hugh J. Perry, Hollie M. Mason
Hearing Site: Omaha, NE
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| 09-02713 | 06/23/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Christopher Gallo
Respondent Lawyers(s): Christopher J. Gallo
Arbitrator(s): James W. Warren
Hearing Site: Las Vegas, NV
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| 08-03678 | 02/14/2011 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Fenton
Respondent Lawyers(s): Michael R. Scott
Arbitrator(s): Bonny Kathleen Riggs, Kay A. Johnson, CRCP, Judith Hill Henderson
Hearing Site: Seattle, WA
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| 09-02210 | 08/13/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Douglas Ross
Respondent Lawyers(s): David L. Dingwell
Arbitrator(s): Bert S Cliff, Edward L. Roth, Robert P. Weisberger
Hearing Site: Cleveland, OH
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| 09-03812 | 07/06/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Chad Henry, David Koch
Respondent Lawyers(s): Nancy L. Hendrickson
Arbitrator(s): Michael L. Weissman, Jeffrey S. Fannon, Samuel Olutola Akeju
Hearing Site: Chicago, IL
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| 09-04891 | 03/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Edward O'Connor
Respondent Lawyers(s): Edward Thomas O'Connor
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
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| 08-00064 | 11/18/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kendall Blunt
Respondent Lawyers(s): John T. Carr
Arbitrator(s): Marvin G. Breen, Joyce L. Tyler, Alan Reginald Doe
Hearing Site: Portland, OR
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| 07-00904 | 11/21/2007 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): John Craine
Respondent Lawyers(s): John Edwin Craine
Arbitrator(s): Patrick J. Burley, Marc E. Henn, Al P. Lawing
Hearing Site: Louisville, KY
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| 07-01810 | 10/30/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Danny Daniels
Respondent Lawyers(s): Danny Daniels
Arbitrator(s): Linda B. Kelly
Hearing Site: Dallas, TX
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