| 10-04283 | 04/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Tony Barbisan
Respondent Lawyers(s): Tony Carlo Barbisan
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
| | $0 |
| 10-04948 | 04/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Stephen Baxter
Respondent Lawyers(s): Stephen Lee Baxter
Arbitrator(s): James N. D'Orso
Hearing Site: Honolulu, HI
| | $0 |
| 09-07145 | 04/14/2011 | Claimant(s): Michael Duddy, Nuala Duddy, Michael J. Duddy and Nuala C. Duddy
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Joseph A. Vallo
Arbitrator(s): Richard N. Kelmans, Rochelle K. Kaplan, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
|  | $100,000 |
| 10-00258 | 04/14/2011 | Claimant(s): Peter Kortemeyer
Claimant Lawyers(s): Laurence S. Schultz
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Theodore L. Leeb
Hearing Site: Chicago, IL
| | $0 |
| 10-04943 | 04/14/2011 | Claimant(s): David Marconi
Claimant Lawyers(s): Michael Floreani
Respondent(s): Peter Amato
Respondent Lawyers(s): Peter Gaetano Amato
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $467,995 |
| 09-00450 | 04/14/2011 | Claimant(s): William Doran
Claimant Lawyers(s): Mark H. How
Respondent(s): J. Miller, RBC Capital Markets LLC
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Ann Blaess Kimball, G. Maynard Green, Robert E. Treadaway
Hearing Site: Dallas, TX
| | $0 |
| 09-06980 | 04/14/2011 | Claimant(s): Keith Stock
Claimant Lawyers(s): Theodore L. Hecht
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joseph B. Russell, Salvatore J. Bate, Anna Lascar
Hearing Site: New York, NY
| | $0 |
| 10-01943 | 04/13/2011 | Claimant(s): David Lehrer
Claimant Lawyers(s): David Lehrer
Respondent(s): Piper Jaffray & Co.
Respondent Lawyers(s): Brooke D. Anthony
Arbitrator(s): Terry F. Peppard, Susan H. Schleisner, Gary L. Grolle
Hearing Site: Milwaukee, WI
| | $0 |
| 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
| | $0 |
| 09-05396 | 04/13/2011 | Claimant(s): NNN Aventura Harbor 14 LLC, The Revocable Living Trust of Edward and
Claimant Lawyers(s): David Liebrader
Respondent(s): Jeffrey Gurman, Woodbury Financial Services.
Respondent Lawyers(s): Jesse Linebaugh, Ryan D. Harvey
Arbitrator(s): Dean Schneider, Michael G. Clark, Melvin S. Feldman
Hearing Site: Los Angeles, CA
| | $605,750 |
