| 09-01290 | 07/08/2010 | Claimant(s): Maury Bronstein, IRA
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Christopher Lazarini
Arbitrator(s): James A. Blalock, Mary E. Woytek, Dineo Coleman Gary
Hearing Site: Memphis, TN
|  | $300 |
| 09-06630 | 06/24/2010 | Claimant(s): Gerald P. Lenaghan, IRA
Claimant Lawyers(s): Gerald P. Lenaghan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Boca Raton, FL
| | $10,395 |
| 05-02413 | 06/22/2010 | Claimant(s): Arlene Johnson, IRA, Laurance Johnson, Arlene and Laurance Johnson, Arlene Johnson as trustee
Claimant Lawyers(s): George J. Vournazos
Respondent(s): Stuart Updegrove, First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Susanne J. Hollander, Paul T. Greening, Josette Belvedere
Hearing Site: Chicago, IL
| | $0 |
| 09-01881 | 06/07/2010 | Claimant(s): Betsy Klausman, Michael Klausman, IRA, MIchael Klausman, Roth IRA
Claimant Lawyers(s): Glenn S. Gitomer
Respondent(s): J. Alden Associates.
Respondent Lawyers(s): Rita Durant
Arbitrator(s): Benjamin F. Richards, Daniel E. Bacine, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 09-04373 | 05/07/2010 | Claimant(s): James R. Burns, IRA
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | $0 |
| 09-04003 | 04/13/2010 | Claimant(s): Colleen M. Tirio, IRA, Ronald C. Tirio
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Bennett A. Hall, R. Keith Butterfield, Charles Franklin Willson
Hearing Site: Hartford, CT
| | $0 |
| 09-00382 | 03/15/2010 | Claimant(s): George Galajda, IRA
Claimant Lawyers(s): Steven Galajda
Respondent(s): Thomas Tette, 1st Global Capital Corp.
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Christopher C. Willett, David L. Hoffberg, Ronald Ripstein
Hearing Site: Rochester, NY
| | $0 |
| 09-04737 | 02/11/2010 | Claimant(s): Joy Deschaine, IRA
Claimant Lawyers(s): Joy Deschaine
Respondent(s): UBS Financial Services Inc., Richard Bernstein
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Anita Rae Shapiro
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02752 | 12/03/2009 | Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $15,787 |
| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
| | $174,766 |
