| 09-04104 | 07/30/2010 | Claimant(s): Rome Arnold
Claimant Lawyers(s): Michael G. Berger
Respondent(s): Bank of America Securities
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Martin Mushkin, Thomas E. Mehrtens, Stephanie Tereasa Failla
Hearing Site: New York, NY
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| 09-01920 | 07/02/2010 | Claimant(s): Mark Patterson
Claimant Lawyers(s): Lance J. Gotko
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): James M. Baumann, Rick F. Suppa, Dwight Wassong
Hearing Site: Newark, NJ
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| 07-00643 | 05/22/2008 | Claimant(s): Richard Olszewski
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments., AllianceBerstein Investment Research
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Richard D. DeVita, Robert J. Gorgia, Renee S. Rothschild
Hearing Site: Newark, NJ
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| 06-04962 | 04/18/2008 | Claimant(s): John Carl
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments.
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Eugene F. Farabaugh, Robina Fedora Asti, Cynthia A. DiMarco
Hearing Site: New York, NY
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