| 08-03219 | 05/27/2010 | Claimant(s): Anne K. and William L. Porter Foundation, Arlington Properties., Kinport Corporation, WRK, Mary S. Kinder Trust
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Larry R. Trussell, James C. Morrow, Christopher Daniel Gryzen
Hearing Site: Omaha, NE
|  | $391,375 |
| 09-01827 | 05/18/2010 | Claimant(s): Lois Pillen
Claimant Lawyers(s): Gail Boliver
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James C. Morrow
Hearing Site: Omaha, NE
| | $26,225 |
| 08-03702 | 05/12/2010 | Claimant(s): Garry Hodgin
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): Michael Segal, Thomas Oneill, Yousuf Saljooki, Whitaker Securities LLC
Respondent Lawyers(s): Scott D. Stechman, Yousuf Saljooki
Arbitrator(s): Jeffrey M. Bain, Bruce C. Young, James A. Hayes
Hearing Site: Omaha, NE
| | Stipulated Award and Expungement |
| 09-01467 | 03/31/2010 | Claimant(s): Faye Ruback
Claimant Lawyers(s): David A. Weintraub
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): John R. Loss, Jeffrey C. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
| | $0 |
| 09-01093 | 11/23/2009 | Claimant(s): Donald Fangman, FRA Mauro, LTD.
Claimant Lawyers(s): Steven E. Achelpohl
Respondent(s): Victor Oelsen, RBC Capital Markets Corporation
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Lawrence P. McLellan
Hearing Site: Omaha, NE
| | $0 |
| 08-02022 | 11/17/2009 | Claimant(s): James Czyz
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Milestone Financial Services., Penson Financial Services.
Respondent Lawyers(s): Matthew J. Schonberg, Tim Davis
Arbitrator(s): Frank D. Connett, Frederick S. Cassman, Bryan R. Hill
Hearing Site: Omaha, NE
| | $199,743 |
| 08-03507 | 11/04/2009 | Claimant(s): Lori Polen, Marion Buchanan
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Jeffrey M. Bain, Michael D. Fitzgerald, Jeffrey C. Johnson
Hearing Site: Omaha, NE
| | $0 |
| 08-02281 | 05/13/2009 | Claimant(s): Alan Bonebrake, Cecilia Johnson, Chrisenda Smith, Clarence Koester, Claretta Royal, Colleen Schreiter, Personal Rep, Deroy Harshman, Dona Brungardt, Donald Bremer, Donna Gress, Donna Jacobson, Duane Madison, Dwayne Witt, Elaine Heng, Erma Barrett, Esther Schnitzer, Faith Eyman, George Stukenholtz, Gerald Royal, Helen Ladd, et al
Claimant Lawyers(s): J. L. Spray
Respondent(s): Donald Beary, James Stanfield
Respondent Lawyers(s): Patrick B. Griffin
Arbitrator(s): Richard M. Duxbury, Frederick B. Anderson, Thomas J. Pleiss
Hearing Site: Omaha, NE
| | $10,290,000 |
| 08-02808 | 03/27/2009 | Claimant(s): Est. of Margaret Oswald by Stan Oswald
Claimant Lawyers(s): Stan Cohen
Respondent(s): Edward Jones
Respondent Lawyers(s): Kimber L. Monroe
Arbitrator(s): James A. Hayes
Hearing Site: Omaha, NE
| | $5,648 |
| 07-01557 | 03/19/2009 | Claimant(s): Betty Zahn, Clarence Koester, Gerard Timothy, Harold Zahn, Ruby Timothy, Deceased, IRA, Betty Zahn IRA, Darlene Brown IRA
Claimant Lawyers(s): J. L. Spray
Respondent(s): Brian Schuster, Wachovia Securities, Paula Turner, Capital Growth Financial
Respondent Lawyers(s): Brian J. Schuster, Michael Jacobs, Paula J. Turner, Todd Ratner
Arbitrator(s): Kimberly Renee McBride, Robert J. Bohle, David B. Lacks
Hearing Site: Omaha, NE
| | $177,700 |
