| 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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| 08-03835 | 06/23/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Jason R. Lindsay
Respondent(s): Malcolm Taaffe
Respondent Lawyers(s): Malcolm F. Taaffe
Arbitrator(s): Daniel B. Daugherty, Marshall Felton Wright, John William Bowman
Hearing Site: Tampa, FL
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| 09-01715 | 06/23/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Stephany D. McLaughlin
Respondent(s): Joe Cantu
Respondent Lawyers(s): Joe M. Cantu
Arbitrator(s): Peter J. Lavezzoli, Thomas L. Curran, Donald R. McGahan
Hearing Site: Ft. Lauderdale, FL
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| 09-00822 | 06/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Steven Pompan
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Richard J. Stall, Marc S. Joseph, Andrew Corell Wahrenbrock
Hearing Site: Los Angeles, CA
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| 05-02413 | 06/22/2010 | Claimant(s): Arlene Johnson, IRA, Laurance Johnson, Arlene and Laurance Johnson, Arlene Johnson as trustee
Claimant Lawyers(s): George J. Vournazos
Respondent(s): Stuart Updegrove, First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Susanne J. Hollander, Paul T. Greening, Josette Belvedere
Hearing Site: Chicago, IL
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| 08-02896 | 06/21/2010 | Claimant(s): John Arnold, Michael Johnston, Michael Mittman
Claimant Lawyers(s): Robert J. Girard
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Julie L. Taylor
Arbitrator(s): Mark A. Levy, Bruce A. Davidson, Robert B. Hansohn
Hearing Site: Los Angeles, CA
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| 09-05792 | 06/21/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Frank Yeilding
Respondent Lawyers(s): Frank A. Yeilding
Arbitrator(s): Mark A. Myers
Hearing Site: Birmingham, AL
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| 09-02635 | 06/18/2010 | Claimant(s): Tullett Prebon Financial Services LLC
Claimant Lawyers(s): Thomas B. Kinzler
Respondent(s): Citigroup Global Markets., Citigroup Global Markets, Ltd.
Respondent Lawyers(s): Susan J. Steinthal
Arbitrator(s): Richard S. Peskin, William C. Struyk, Richard J. McLynn
Hearing Site: New York, NY
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| 09-02967 | 06/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Michael J. Fortunato
Respondent(s): Robert Pippenger
Respondent Lawyers(s): Michael A. Anderson
Arbitrator(s): Chandler R Bridges, George S. Willingham, Robert A. Dean
Hearing Site: Atlanta, GA
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| 09-03055 | 06/18/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Jin-Ho Chung
Respondent(s): Joseph Ortega
Respondent Lawyers(s): Joseph Carlo Ortega
Arbitrator(s): Alexander L. Mazour
Hearing Site: San Francisco, CA
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