| 09-05576 | 11/02/2010 | Claimant(s): Shuck Limited Partnership, Shuck Family Trust dtd 5/24/05
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): James Losey, Royal Alliance Associates., Wealthcare Alliance.
Respondent Lawyers(s): G. Thomas Fleming, III
Arbitrator(s): Audrey H. Ruben, Joyce L. Hurley, Richard William DeWeese
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-02693 | 10/20/2010 | Claimant(s): Steven Weisberg, IRA FBO Steven L. Weisberg SunAmerica Tr, Steven L. Weisberg Rev. Trust
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Royal Alliance Associates., John Schwartz, Retirement Advisory Services.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Paul W. Sterman, Michael J. Quarequio, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $80,000 |
| 09-05047 | 03/12/2010 | Claimant(s): Brandy Rowan
Claimant Lawyers(s): Brandy Rowan
Respondent(s): Royal Alliance Associates., Mark Steckler, Caruso McLean & Co.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Frank C. Fogl
Hearing Site: Syracuse, NY
| | $2,748 |
| 07-01585 | 02/09/2010 | Claimant(s): Alice Marsalis, Betty Hunter, Billie Wheat, George Hunter, Girven VanPatton, John Abston, Margaret Stanton, Robert Arceneaux, William Holmes
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): George A. Sawyer, Mark A. Myers, Prince C. Chambliss
Hearing Site: Jackson, MS
| | $859,000 |
| 08-02018 | 04/16/2009 | Claimant(s): Holly Angell Hardman, Trustee
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Arthur Grossbard, Royal Alliance Associates.
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): June Y. Kilmarx, Howard M. Miller, Peter Svorinic
Hearing Site: Boston, MA
| | $0 |
| 05-05474 | 01/23/2009 | Claimant(s): John Carpenter
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Royal Alliance Associates., Steven Muntin
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): George H. Zinn, Burton L. Ansell
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 05-02521 | 10/18/2007 | Claimant(s): Brenda Caswell, Gail Carlson, George Finkbiner, Herbert Hansen, Jane Hoffman, Jane Kercheval, Joyce Alo, Kendall Kelly, Kenneth Caswell, Margaret Huyler, Marguerite Edwards, Ralph Carlson, Rosemary O'Donnell, Earl Kercheval, Elizabeth Hansen, Estate of Eileen McCardle, Antonio and Bernardina Augusto, Frederick and Diane Burmeister, Harold and Janet Bennett, Davison Rugs Profit Sharing Trust
Claimant Lawyers(s): Brian A. Carlis, Richard D. DeVita
Respondent(s): Royal Alliance Associates., Comprehensive Asset Mgmt and Servicing
Respondent Lawyers(s): Brian A. Carlis, Erika L. Altman
Arbitrator(s): Ronnie Edward Nichols, Robert T. Kelly, Suzanne Levin Wolfson
Hearing Site: Philadelphia, PA
| | $125,423 |
| 07-00725 | 09/20/2007 | Claimant(s): Pat Selman
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): Gregory M. Curley
Arbitrator(s): Gordon MacMillan
Hearing Site: Portland, OR
| | $0 |
