| 09-01796 | 12/01/2010 | Claimant(s): Allen Graber, Bertram Barnett, Robert Yarbrough, Robert L. Cockroft and Kathy C. Cockroft, Bittjal Partners
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Thomas L. Maschmeyer, P. Drake Mann, Yvonia A. Foster
Hearing Site: Memphis, TN
|  | $2,428,030 |
| 08-03212 | 05/11/2010 | Claimant(s): Bruce Spector, Ilene Abramson, Laurence Abramson, Michael Piuze, Abramson Living Trust UAS 4/1/02, The Spector Family Trust U/A/D 08/16/93
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Peter R. Boutin
Arbitrator(s): Steven Gourley, Stephen B. Benton, Elliott Zachary Seff
Hearing Site: Los Angeles, CA
| | $1,557,200 |
| 08-02695 | 04/20/2010 | Claimant(s): Gaedeke Holdings II, Ltd., Gaedeke Holdings III, Gaedeke Holdings
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Stifel, Nicolaus & Co.., Century Securities Associates.
Respondent Lawyers(s): Carrie Bechtold
Arbitrator(s): Jeff Abrams, Bill H. Brister, Rosemary Rachael
Hearing Site: Dallas, TX
| | $0 |
| 08-01841 | 11/11/2009 | Claimant(s): Hilda Applbaum, Isaac Applbaum, The Applbaum Family Trust UAD 6/1/93
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Nicholas J. Caputo, David R. Finch, Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 07-03054 | 03/20/2009 | Claimant(s): Alan Beverly, Angela Soll, Audrey Schaefer, Carole Renfro, Clayton Beck, Darcie Fulkerson, Debbie Beverly, Gail Stoneburg, Jeff Bourne, John Brezden, Jonathan Fulkerson, Kathy Beck, Kevin Howard, Linda Gaffney, Maria Brezden, Mark Baker, Mark Gruidl, Mark Soll, Michael Schaefer, Rena Stathacopoulos, et al
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Jeffrey Forrest, Associated Securities Corp.
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert J. Ruben, Mark S. Priver, Kenneth Miller
Hearing Site: Los Angeles, CA
| | $8,858,600 |
| 07-02901 | 01/23/2009 | Claimant(s): Kenneth Chyten
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Dennis Devaney, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Kenneth I. Rosenblum, Edward J. Costello, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
| | Expungement |
| 07-01236 | 02/15/2008 | Claimant(s): John Wallis, John R. Wallis IRA
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): LLoyd S. Clareman
Arbitrator(s): William Edward Buck, Martin Samuel Altimore, Martin Epner
Hearing Site: Houston, TX
| | Stipulated Award |
| 05-06272 | 02/04/2008 | Claimant(s): Sheila Whitcomb
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Stephen Z. Frank, William Norton
Hearing Site: Manchester, NH
| | Stipulated Award |
| 07-01003 | 01/18/2008 | Claimant(s): Estate of George C. Tomcik
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Carl Hohnbaum, Jared D. Simmer, Steven P. Franckhauser
Hearing Site: Pittsburgh, PA
| | Stipulated Award |
| 07-00879 | 12/06/2007 | Claimant(s): Jodeen Fletcher
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Commonwealth Financial Network
Respondent Lawyers(s): Katherine B. Harrison
Arbitrator(s): Larry R. Trussell, Frederick B. Anderson, Jeffrey A. Bainbridge
Hearing Site: Omaha, NE
| | $0 |
