| 09-01532 | 05/03/2010 | Claimant(s): J.P. Morgan Securities, JP Morgan Chase and Company
Claimant Lawyers(s): Murphy J. Foster
Respondent(s): Wachovia Securities, James Poche, Kevin Knobloch, Shaun Burns
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): C. Ellis Henican, David J. Schexnaydre, Richard J. Clement
Hearing Site: New Orleans, LA
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| 09-02996 | 05/03/2010 | Claimant(s): Wedbush Morgan Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
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| 09-05127 | 05/03/2010 | Claimant(s): Judith Polk-Sebring
Claimant Lawyers(s): Randall C. Place
Respondent(s): Steven Lockshin, City National Securities.
Respondent Lawyers(s): Matthew A. Eisenstein
Arbitrator(s): Steven R. Bralove, Douglas Earl McLaren, Joseph O'Donnell
Hearing Site: Washington, DC
|  | Expungement |
| 09-01667 | 05/03/2010 | Claimant(s): Esther J. Aboud IRA Account, The 2000 Esther Aboud Revocable Trust
Claimant Lawyers(s): Esther J. Aboud
Respondent(s): Wachovia Securities, James Wheat
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Roberta Haft, Milton C. Bennett, Michael G. Clark
Hearing Site: Los Angeles, CA
| | $0 |
| 07-02734 | 04/30/2010 | Claimant(s): Jamila Arapovic
Claimant Lawyers(s): Jamila Arapovic
Respondent(s): Wells Fargo Investments, Wells Fargo, N.A.
Respondent Lawyers(s): Dena Narbaitz
Arbitrator(s): Michael G. Clark, James P. Murphy, Cathleen M. Cobb
Hearing Site: Los Angeles, CA
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| 08-03123 | 04/30/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Gilbert W. Boyce
Respondent(s): Bruce Wall, David Mattia, Douglas Smith, George Dunn, Jeffrey Santos, Jeffrey Wagner, Lori Van Dusen, Peter Dunne, Richard Vankuren, Thomas Hawks, Winship Ross
Respondent Lawyers(s): Judd Spray, Marc Greenwald, Peter E. Calamari
Arbitrator(s): Robert Paulger Linn, Albert D. Sturtevant, Baunita M. Greer
Hearing Site: Washington, DC
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| 08-05028 | 04/30/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kenneth Boyd
Respondent Lawyers(s): Dennis J. Concilla
Arbitrator(s): Earl Williams, Howard A. Slater, MBA, CFP, ChFC, Shelly A. Goering
Hearing Site: Cleveland, OH
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| 09-00320 | 04/30/2010 | Claimant(s): Eric Ely
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jaime L. Haggard
Arbitrator(s): Donald N. Tolin, Martha M. Walker, Deanna M. Tuley
Hearing Site: Denver, CO
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| 09-02142 | 04/30/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Larry Schnaid
Respondent Lawyers(s): Aviv L. Tuchman
Arbitrator(s): Salvatore A. Sciortino
Hearing Site: Los Angeles, CA
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| 09-04534 | 04/30/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Erika L. Altman
Respondent(s): Patrick McConnell
Respondent Lawyers(s): Patrick Joseph McConnell
Arbitrator(s): Robert I. Rabinowitz
Hearing Site: New York, NY
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