| 05-01577 | 03/25/2011 | Claimant(s): Bounty International Limited, Good Regent International Limited, Wisdom Century Development Limited
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Michael J. Dell
Arbitrator(s): Joel P. Mellis, Mindi R. Parrott
Hearing Site: New York, NY
|  | $0 |
| 09-06972 | 03/25/2011 | Claimant(s): Judy Walters
Claimant Lawyers(s): Judy K Walters
Respondent(s): Wachovia Securities, Robert Moler
Respondent Lawyers(s): Daniel J. Gilfarb
Arbitrator(s): Jack A. Helms
Hearing Site: Tampa, FL
| | $0 |
| 10-03694 | 03/25/2011 | Claimant(s): Mary Gabor
Claimant Lawyers(s): Mary Ellen Gabor
Respondent(s): Emir Culov, HSBC Securities (USA) Inc.
Respondent Lawyers(s): Meredith L. Friedman
Arbitrator(s): Ralph L. Halpern
Hearing Site: Buffalo, NY
| | $158 |
| 08-04953 | 03/24/2011 | Claimant(s): Ahmass Fakahany
Claimant Lawyers(s): Eric Seiler
Respondent(s): Ann Reese, Armando Codina, John Finnegan, John Thain, Joseph Prueher, Merrill Lynch Pierce Fenner & Smith Inc., Banc Of America Securities LLC, Bank of America Corporation, MER Merger Corporation, Merrill Lynch & Co..
Respondent Lawyers(s): Scott Musoff
Arbitrator(s): Alfred H. Kingon, Martin A. Edelstein, Thomas M. Amadio
Hearing Site: New York, NY
| | $0 |
| 09-03810 | 03/24/2011 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Jeffrey Martin
Respondent Lawyers(s): Richard E. Olson
Arbitrator(s): David W. Martin, Mary E. Lockett, LeRoy Melvin Gilbertson
Hearing Site: Albuquerque, NM
| | $0 |
| 09-06154 | 03/24/2011 | Claimant(s): Kevin Afnan
Claimant Lawyers(s): Andrew A. Kabat
Respondent(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Respondent Lawyers(s): Ronald P. Kane
Arbitrator(s): Bert S Cliff, Ellen Holland Keller, Robert M Lustig
Hearing Site: Cleveland, OH
| | $0 |
| 09-07059 | 03/24/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Jeffrey Davis
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): James D. Knotter
Hearing Site: Los Angeles, CA
| | $0 |
| 10-04125 | 03/24/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael W. Starr
Respondent(s): Shawn Sullivan
Respondent Lawyers(s): Steven N. Fuller
Arbitrator(s): David Love
Hearing Site: Boston, MA
| | $0 |
| 10-04222 | 03/24/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn Lamar
Respondent(s): Robert Mullen
Respondent Lawyers(s): Robert Bryan Mullen
Arbitrator(s): Thaddeus J. Tecza
Hearing Site: Denver, CO
| | $0 |
| 09-01485 | 03/24/2011 | Claimant(s): Adam C. Singer 2004 Trust U/A DTD 20FEB0
Claimant Lawyers(s): Scott A. Shanes
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Sharon J. Shumway
Arbitrator(s): Maxel (Bud) B. Silverberg, Daniel A. Kile, Richard Frederick Schaufert
Hearing Site: Dallas, TX
| | $450,000 |
