| 09-00770 | 06/15/2010 | Claimant(s): Alvin Shrago
Claimant Lawyers(s): James A. Batson
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter A. Goldman, William C. Soo-Hoo, Anita Sippy
Hearing Site: New York, NY
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| 09-01573 | 06/15/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Colleen M. Fitzgerald
Respondent(s): Paul Kotos
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Linda Fairchild, Paul Lilling, Dennis R. Nolte
Hearing Site: Orlando, FL
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| 09-03231 | 06/15/2010 | Claimant(s): Clayton Scholand, George Rankin, George Verdone, Samuel Rankin, William Wynn
Claimant Lawyers(s): Sara W Higgins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Harold Engelman, James Edward Banks, Wendy J. Reyner
Hearing Site: Charlotte, NC
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| 09-06602 | 06/15/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Frank Polsinello
Respondent Lawyers(s): Frank Joseph Polsinello
Arbitrator(s): Jack Friedman
Hearing Site: Albany, NY
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| 09-00116 | 06/14/2010 | Claimant(s): Richard Sampson
Claimant Lawyers(s): James A. Shalvoy
Respondent(s): Capmark Securities Inc.
Respondent Lawyers(s): John V. McDermott
Arbitrator(s): Victoria E. Johnson, Grace L. Heyne, Steven A. Wawra
Hearing Site: Los Angeles, CA
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| 09-03507 | 06/11/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s): Mark Emberton
Respondent Lawyers(s): Mark Radley Emberton
Arbitrator(s): James W. Warren
Hearing Site: Phoenix, AZ
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| 08-02674 | 06/09/2010 | Claimant(s): Larry Osborne
Claimant Lawyers(s): Armand Salese
Respondent(s): Chase Investment Services Corp., Steven Campbell
Respondent Lawyers(s): Susan M. Benton
Arbitrator(s): George N. Roy, Deborah C. Bernot, Jerome K. Altshuler
Hearing Site: Phoenix, AZ
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| 09-05218 | 06/09/2010 | Claimant(s): Ross, Sinclaire & Associates
Claimant Lawyers(s): Louis F. Solimine
Respondent(s): Clayton Lowell & Conger.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Thomas J. McAllister
Hearing Site: Cincinnati, OH
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| 09-02226 | 06/08/2010 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Jeffrey Shepro
Respondent(s): Sky Capital LLC
Respondent Lawyers(s): President or Compliance Officer
Arbitrator(s): Hugh N. Fryer
Hearing Site: New York, NY
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| 10-00824 | 06/08/2010 | Claimant(s): Robert Furst, Investor Clout, an Arizona Partnership
Claimant Lawyers(s): Robert Furst
Respondent(s): Mortgages LTD. Securities, L.L.C.
Respondent Lawyers(s): Gerald K. Smith
Arbitrator(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
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