| 08-00674 | 12/02/2009 | Claimant(s): Alma F. Hollingsworth, IRA, Paul Hollingsworth, Paul and Alma F. Hollingsworth, Trustees
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): David W. Stanton, Belinda M. Ohlinger, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
|  | $57,882 |
| 08-03431 | 10/23/2009 | Claimant(s): Henrietta Costa IRA (Roll Over), John T. Costa, IRA
Claimant Lawyers(s): George L. Mahr
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): John Castelly
Arbitrator(s): Maria D. Cirillo, Thomas M. Crawford, Stanley M. Lenkowicz
Hearing Site: Newark, NJ
| | $8,342 |
| 07-03322 | 10/05/2009 | Claimant(s): Brenda K. Gaidmore, IRA, Gerald P. Gaidmore
Claimant Lawyers(s): Gerald P. Gaidmore
Respondent(s): A.G. Edwards & Sons., Paul Bedinger, Richard Iannacone
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Brian J. Dunn, Michael Dell'Olio, Joseph Charles Kennedy
Hearing Site: Manchester, NH
| | $0 |
| 08-04585 | 08/06/2009 | Claimant(s): Harold Kozupsky, Jeanette Kozupsky, Harold and Jeanette Kozupsky, IRA, Harold Kozupsky and Jeanette Kozupsky
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): George Gladman, Ronald Slevin, RBC Dain Raucher
Respondent Lawyers(s): Joel E. Davidson
Arbitrator(s): John F. Duane, Alvin Green, James D. Yellen
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
| 09-01199 | 07/24/2009 | Claimant(s): Dennis Turman, Dennis Roger Turman, IRA
Claimant Lawyers(s): J. Boyd Page
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A Christensen
Arbitrator(s): Joe Carroll Thomas
Hearing Site: Charlotte, NC
| | $8,673 |
| 08-04802 | 07/21/2009 | Claimant(s): Jean Francis Schirard, IRA, Jean & Joseph Schirard and Lisa Buchanan
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | $0 |
| 09-00522 | 06/25/2009 | Claimant(s): Michael R. Ladanyi, IRA
Claimant Lawyers(s): Michael R. Ladanyi
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James M. Shaker
Hearing Site: Seattle, WA
| | $88 |
| 08-01666 | 06/18/2009 | Claimant(s): Daniel P. Rayburn, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): John F. O'Neill
Hearing Site: Atlanta, GA
| | $12,796 |
| 08-04626 | 06/02/2009 | Claimant(s): Brenda Hadjigeorgalis, IRA, Michael Hadjigeorgalis, Michael and Brenda Hadjigeorgalis
Claimant Lawyers(s): Antonios Hadjigeorgalis
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John O. Lukanski
Arbitrator(s): Fred M. Ridolphi
Hearing Site: Nashville, TN
| | $5,342 |
