| 10-04089 | 02/25/2011 | Claimant(s): Lehman Brothers Holdings Inc.
Claimant Lawyers(s): Barry S. Gold
Respondent(s): Luis Morales
Respondent Lawyers(s): Luis Emilio Morales
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | $0 |
| 10-04180 | 02/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Carolyn LaMar
Respondent(s): Steven Hering
Respondent Lawyers(s): Steven J Hering
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $0 |
| 10-04939 | 02/25/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Michael Alexander
Respondent Lawyers(s): Michael Allen Alexander
Arbitrator(s): Philip I. McConnell
Hearing Site: Dallas, TX
| | $0 |
| 08-03114 | 02/25/2011 | Claimant(s): Howard Coleman, Rhoda Coleman, The Coleman Family Trust U/T/A 1/18/1992
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeffrey E. Skogsbergh, Mary M. O'Neil, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
|  | $230,667 |
| 09-06861 | 02/25/2011 | Claimant(s): Deborah Dee
Claimant Lawyers(s): David J. Paliotti
Respondent(s): Banc of America Investment Services Inc., Nicholas Cafaro, Patrick Sands
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Robert H. Watts, Gerard S. Marsan, Marilyn H. Zuckerman
Hearing Site: Boston, MA
| | $0 |
| 09-06216 | 02/25/2011 | Claimant(s): Whitney Corderi
Claimant Lawyers(s): Richard A. Roth
Respondent(s): Thomas McCarvill, Chicago Investment Group
Respondent Lawyers(s): Richard P. Lynch, Thomas McCarvill
Arbitrator(s): Lewis J. Levey, Roy B. Gonas, Stephen Trigg Kuhn
Hearing Site: Miami, FL
| | $0 |
| 10-02017 | 02/25/2011 | Claimant(s): Jadwiga Piskozub
Claimant Lawyers(s): Jill Gross
Respondent(s): Citigroup Global Markets., Martin Jankowski
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Joan M. Traub
Hearing Site: New York, NY
| | $213 |
| 10-03462 | 02/25/2011 | Claimant(s): Deanne Eastin, Terrance Eastin
Claimant Lawyers(s): Terrance Eastin
Respondent(s): Carol Vehmeyer
Respondent Lawyers(s): Edward J. McNamara
Arbitrator(s): Robert S. McConnell
Hearing Site: Phoenix, AZ
| | $213 |
| 09-00335 | 02/24/2011 | Claimant(s): Araceli Fonseca
Claimant Lawyers(s): Marie C. Mirch
Respondent(s): Brett Saddler, Ameriprise Financial Services.
Respondent Lawyers(s): Katherine J. Stanton
Arbitrator(s): Kenneth E. Owen, Arthur T. Berggren, Richard William DeWeese
Hearing Site: Los Angeles, CA
| | $0 |
| 10-00933 | 02/24/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Richard Plevy
Respondent Lawyers(s): Adam D. Palmer
Arbitrator(s): Jeffrey C. Thompson, Ilisa J. Smukler, William Kent Brown
Hearing Site: Boca Raton, FL
| | $0 |
