| 08-04477 | 03/07/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Gregory Ramirez
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John B. Wells, Stephen B. Benton, Gerald C. Tambe
Hearing Site: Los Angeles, CA
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| 09-01823 | 02/15/2011 | Claimant(s): Allison Alley, Stephen Hoen
Claimant Lawyers(s): Robert L. Hill
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Mandel E. Himelstein, Janice L. Sperow, Thomas E. Mullen
Hearing Site: San Diego, CA
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| 09-01691 | 01/27/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): James Dingle
Respondent Lawyers(s): Alan Block
Arbitrator(s): Robert B. Schmidt, Richard J. Belmonte, Stephen M. Slavin
Hearing Site: Chicago, IL
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| 10-00773 | 01/18/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Kenneth Shaffer
Respondent Lawyers(s): Kenneth C. Shaffer
Arbitrator(s): Marlyn G. McClaskey, Laurel Littman Gothelf, Thomas D. Reese
Hearing Site: San Francisco, CA
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| 09-04380 | 12/02/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Fischetti
Respondent Lawyers(s): Allan P. Whitehead
Arbitrator(s): Paul Lilling, Gary F. Lang, Stuart S. Billington
Hearing Site: Orlando, FL
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| 09-03557 | 10/14/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Callander
Respondent Lawyers(s): Wendy L. Wilkie
Arbitrator(s): Harold G. Koger
Hearing Site: Columbia, SC
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| 09-02028 | 09/30/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Thomas Bridge
Respondent Lawyers(s): Thomas C. Bridge
Arbitrator(s): Mark C. Perry, Walter B. Bancroft, James W. Geiger
Hearing Site: Boca Raton, FL
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| 09-01495 | 07/12/2010 | Claimant(s): Frank Grossman
Claimant Lawyers(s): Nicholas P. Iavorone
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Frederic M. Rizzo, Jerome Stern, Jeffrey S. Fannon
Hearing Site: Chicago, IL
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| 09-01452 | 06/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kenneth D. Bingham, Simeon R. Trotter, Robert R. Nursey
Hearing Site: Dallas, TX
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| 08-03679 | 06/23/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Edward Harris
Respondent Lawyers(s): Amir Tadjedin
Arbitrator(s): David Maurer, Daniel R. Brush, James M. Goldberg
Hearing Site: Los Angeles, CA
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