| 08-01533 | 09/25/2009 | Claimant(s): Solaris Opportunity, L.P.
Claimant Lawyers(s): James E. Judge
Respondent(s): Phlip Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Thomas W. Craddock
Arbitrator(s): Stuart D. Summers, Philip J. Glick, Ralph O. Bolt
Hearing Site: Chicago, IL
|  | $200,000 |
| 07-02841 | 09/25/2009 | Claimant(s): Anthony McPherron, Specialty Orthopedics.
Claimant Lawyers(s): Anthony A. McPherron
Respondent(s): Duane Doroh, Jay Jensen, Philip Bieghler, Investment Planners., Sammons Securities Company
Respondent Lawyers(s): Damian A. Laugher, Joanna J. Cline, Kenneth F. Berg, Martin Q. Ryan, Todd M. Jackett
Arbitrator(s): Peter Ordower, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
| | $0 |
| 09-01876 | 09/17/2009 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Robert Lieblang
Respondent Lawyers(s): Robert J. Lieblang
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $0 |
| 08-03443 | 09/17/2009 | Claimant(s): Jeffrey Kaufman
Claimant Lawyers(s): John S. Burke
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): Kevin M. O'Hagan
Arbitrator(s): Donald M. Thompson, Michael I. White, Jerome Arthur Connolly
Hearing Site: Chicago, IL
| | $387,960 |
| 09-01617 | 09/02/2009 | Claimant(s): Sarah Maseth
Claimant Lawyers(s): Sarah A Maseth
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon B. Shneider
Hearing Site: Chicago, IL
| | $163 |
| 09-00561 | 07/20/2009 | Claimant(s): Barbara Tutt
Claimant Lawyers(s): David M. Tutt
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Stuart M. Widman
Hearing Site: Chicago, IL
| | $9,613 |
| 08-04509 | 06/15/2009 | Claimant(s): David Rothschild
Claimant Lawyers(s): David J. Rothschild
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Marilee Roberg
Hearing Site: Chicago, IL
| | $0 |
| 08-04071 | 06/09/2009 | Claimant(s): Kathleen Bronkalla
Claimant Lawyers(s): Kathleen Bronkalla
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Michael S. Matek, G. Gale Roberson, Scott Stauffer
Hearing Site: Chicago, IL
| | $0 |
| 08-02472 | 06/03/2009 | Claimant(s): Mary Lou Soldato
Claimant Lawyers(s): David A. Genelly
Respondent(s): Joseph Fabian, FSC Securities Corporation
Respondent Lawyers(s): Jon M. Bylsma, Samuel P. Mauch
Arbitrator(s): Raymond P. Buschmann, Theresa A Gillerlain, Matthew P. Hardy
Hearing Site: Chicago, IL
| | $115,225 |
| 08-03750 | 05/08/2009 | Claimant(s): Henry McGhee
Claimant Lawyers(s): Henry Dewitt McGhee
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Richard A. Van Kalker
Hearing Site: Chicago, IL
| | $0 |
