| 09-02035 | 06/03/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Joel E. Davidson
Respondent(s): Ronald Feldstein, Mara Capital Management
Respondent Lawyers(s): Seth Huberman
Arbitrator(s): Norman J. Reich, Mary Ellen Burns, Andrew J. Gerber
Hearing Site: New York, NY
| | Stipulated Award |
| 08-04141 | 06/02/2010 | Claimant(s): Andrew Kaye
Claimant Lawyers(s): Michael Grenert
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michelle Jacobowitz Gallagher, Steven A. Infante, Betty Chen
Hearing Site: New York, NY
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| 10-00152 | 06/01/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Strand
Respondent Lawyers(s): David Strand
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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| 08-04607 | 05/28/2010 | Claimant(s): Peter Kuper
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Morgan Stanley & Co., Stephen Penwell
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Nelson P. Lovins, Stephen Z. Frank, Lee McHarg Holland
Hearing Site: Boston, MA
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| 09-03974 | 05/28/2010 | Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): William Bettis
Respondent Lawyers(s): William Jonathan Bettis
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
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| 09-04266 | 05/28/2010 | Claimant(s): Smh Capital Inc.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Patricia Bonavito
Respondent Lawyers(s): Patricia Bonavito
Arbitrator(s): Joseph D. Cosgrove, Judith C. Greene, Ronald J. Colombo
Hearing Site: New York, NY
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| 09-04787 | 05/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Nancy Lawton
Respondent Lawyers(s): Tim Bowers
Arbitrator(s): Alan M. Schankel, Glenn Lloyd Nobel
Hearing Site: Philadelphia, PA
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| 09-06945 | 05/28/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): James Henry
Respondent Lawyers(s): Phillip C. Green
Arbitrator(s): Mark A. Myers
Hearing Site: Little Rock, AR
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| 09-05744 | 05/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Thomas Stoner
Respondent Lawyers(s): Thomas Lee Stoner
Arbitrator(s): Mary Margaret Bush
Hearing Site: Anchorage, AK
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| 10-00036 | 05/27/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Scott Kurland
Respondent Lawyers(s): Scott Jeffrey Kurland
Arbitrator(s): Ernest Fanwick
Hearing Site: New York, NY
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