| 09-05336 | 09/02/2010 | Claimant(s): Howard Rubin
Claimant Lawyers(s): Howard A. Rubin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): John Fleming Kelly
Hearing Site: Albuquerque, NM
|  | $163 |
| 09-03601 | 06/14/2010 | Claimant(s): Jack Lang, Tina Lang, The Jack A. & Tina L. Lang Family Trust
Claimant Lawyers(s): Holly C. Hamm, Ross Spence
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Lacey, Merrill Lynch Life Agency Inc.
Respondent Lawyers(s): Joseph L. Hood
Arbitrator(s): Mica T. Duncan, Joe S. Tarrer, Richard L. Merkel
Hearing Site: Albuquerque, NM
| | $100,000 |
| 07-01216 | 03/22/2010 | Claimant(s): Herbert and Dorthy Thiry
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Robert Schultz, Scott Magallanes, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Elizabeth Lowery, H Thomas Fehn, Scott Lee Magallanes, Steve Skytte
Arbitrator(s): James B. Vessey, Jonathan H. Larson, Barry H. Barnett
Hearing Site: Albuquerque, NM
| | $135,000 |
| 09-01310 | 10/27/2009 | Claimant(s): Carol deMontel
Claimant Lawyers(s): Carol deMontel
Respondent(s): Jennifer Goodman, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): R. Peter Faris
Hearing Site: Albuquerque, NM
| | $0 |
| 07-02490 | 03/09/2009 | Claimant(s): Pueblo of Zuni
Claimant Lawyers(s): Mario J. Martinez
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Patrick J. Halter, Frederick K. Steiner, William J. Kenna
Hearing Site: Albuquerque, NM
| | $0 |
| 06-05031 | 02/20/2009 | Claimant(s): Barbara Zickler IRA
Claimant Lawyers(s): Justin R. Sawyer
Respondent(s): Brookstreet Securities Corporation
Respondent Lawyers(s): Thomas H. Fehn
Arbitrator(s): James B. Vessey, Peter J. Broullire, Edward Allan Hindman
Hearing Site: Albuquerque, NM
| | Stipulated Award |
| 08-01202 | 10/07/2008 | Claimant(s): Patricia A. Goundry, Robert J. Goundry
Claimant Lawyers(s): Patricia Goundry, Robert Goundry
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James Vihstadt
Arbitrator(s): Philip B. Whitaker
Hearing Site: Albuquerque, NM
| | $1,000 |
| 07-00758 | 01/07/2008 | Claimant(s): John Rendall
Claimant Lawyers(s): Michael W. Wile
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Charles A. Gall
Arbitrator(s): Douglas A. Barr, Barry H. Barnett, James W. Warren
Hearing Site: Albuquerque, NM
| | $0 |
