| 08-03064 | 06/19/2009 | Claimant(s): Elizabeth Muller, Elizabeth O. Muller IRA, Robert R. Muller IRA, Robert R. Muller Profit Sharing Plan, Robert R. & Elizabeth O.S. Muller Trust,
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Catherine Stewart, Catherine S. Kopley, Laura A. Kaster
Hearing Site: Philadelphia, PA
|  | $100,000 |
| 08-03057 | 05/06/2009 | Claimant(s): Ralph Plechner
Claimant Lawyers(s): Ralph E. Plechner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $0 |
| 04-04992 | 04/23/2009 | Claimant(s): Clark C. Coulston and Lucille Coulston
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $0 |
| 07-02448 | 03/25/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Harry Virunurm
Respondent Lawyers(s): Thomas B. Lewis
Arbitrator(s): Richard A. Purkiss, David M. Panko, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | $97,330 |
| 07-00977 | 03/17/2009 | Claimant(s): James Martin, Estate of Barbara Martin
Claimant Lawyers(s): Neil W. Yahn
Respondent(s): Citigroup Global Markets., Ronald Wetzel
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Dean L. Scarpa, John L. Braxton, Allen M. Kerpan
Hearing Site: Philadelphia, PA
| | $1 |
| 08-01133 | 02/05/2009 | Claimant(s): Ruth Mulholland
Claimant Lawyers(s): Ruth Mulholland
Respondent(s): TIAA-CREF Individual & Institutional Ser
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Thomas Benjamin Salzer
Hearing Site: Philadelphia, PA
| | $7,465 |
| 08-01952 | 12/02/2008 | Claimant(s): Dr. Sava Lukac
Claimant Lawyers(s): Sava Lukac
Respondent(s): Citigroup Global Markets., Marlon Travis
Respondent Lawyers(s): Douglas B. Appel
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | $0 |
| 06-02530 | 10/03/2008 | Claimant(s): Joseph A., and Judith A. Franko
Claimant Lawyers(s): Nicholas J. Guiliano
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Jill A Guldin
Arbitrator(s): John B. Ryan, Julian F. Santos, Piedad A. Bernikow
Hearing Site: Philadelphia, PA
| | $300 |
| 07-03269 | 09/12/2008 | Claimant(s): Beatrice Kershenblatt
Claimant Lawyers(s): Beatrice B. Kershenblatt
Respondent(s): David Karp, A.G. Edwards & Sons.
Respondent Lawyers(s): David Butler
Arbitrator(s): Joseph R. Lally, Sean M. Sweeney, Allen M. Kerpan
Hearing Site: Philadelphia, PA
| | $0 |
| 07-03435 | 08/13/2008 | Claimant(s): Paul Vagnozzi, Estate of Charlotte Vagnozzi
Claimant Lawyers(s): Richard DeVita
Respondent(s): Enrico Caiazzo, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Martin Kobak, John L. Braxton, Laura A. Kaster
Hearing Site: Philadelphia, PA
| | $0 |
