| 09-04699 | 10/20/2010 | Claimant(s): Jill Trade, Paigow II
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Laurie E. Law, Jay Lawrence Witkin, Gregory B. Wood
Hearing Site: Las Vegas, NV
|  | $0 |
| 09-05253 | 10/11/2010 | Claimant(s): The Estate of Lawrence D. Burns
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid-Ohio Securities Corp
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Steven K. Lum, Gregory B. Wood, Dee Newell
Hearing Site: Las Vegas, NV
| | $280,684 |
| 09-02491 | 09/23/2010 | Claimant(s): Vikki Okasaki
Claimant Lawyers(s): Vikki Okasaki
Respondent(s): Citigroup Global Markets., Paul Couch
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Philip H. Marmurowski, Stephen F. Kempa, Dee Newell
Hearing Site: Las Vegas, NV
| | $15,500 |
| 10-00770 | 09/10/2010 | Claimant(s): John Schmidt
Claimant Lawyers(s): John J. Schmidt
Respondent(s): Kenneth Finkelson, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael P. Zwirko
Arbitrator(s): Paul E. Dahlman
Hearing Site: Las Vegas, NV
| | $9,213 |
| 09-01548 | 07/02/2010 | Claimant(s): John Weber, Stab Holdings
Claimant Lawyers(s): Peter S. Christiansen, Richard E. Tanasi
Respondent(s): Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Vernon Barnum, Linda Jane Jones, R. Peter Faris
Hearing Site: Las Vegas, NV
| | $0 |
| 09-03243 | 05/12/2010 | Claimant(s): Q Investments Limited Partnership
Claimant Lawyers(s): Philip Aurbach
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Las Vegas, NV
| | $117,630 |
| 09-00813 | 03/19/2010 | Claimant(s): James Searcy IRA, James Searcy Revocable Trust u/a/d 12/01
Claimant Lawyers(s): David Liebrader
Respondent(s): George Manska, Citigroup Global Markets., Shirley Gilreath
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Howard W. Shannon, Alan J. Duncan, James H. McAvoy
Hearing Site: Las Vegas, NV
| | $523,000 |
| 09-05448 | 03/15/2010 | Claimant(s): Surviving Settlors Trust, UW G&E Derbyshire Trust
Claimant Lawyers(s): George H. Derbyshire
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine L. Luth
Arbitrator(s): Marc Kalish
Hearing Site: Las Vegas, NV
| | $0 |
| 08-04209 | 12/17/2009 | Claimant(s): Odeen Manning, The Odeen Manning Family LP
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Paul H. Lamboley, Stephen F. Kempa, Seymour A. Kolman
Hearing Site: Las Vegas, NV
| | $895,000 |
| 09-00086 | 11/30/2009 | Claimant(s): Altynai Berksoy, Volkan Berksoy
Claimant Lawyers(s): Volkan Berksoy
Respondent(s): Daniel Clark, Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Thomas E. Shuck, Philip H. Marmurowski, Gregory B. Wood
Hearing Site: Las Vegas, NV
| | $0 |
