| 11-03986 | 09/06/2012 | Claimant(s): William B. Brown
Claimant Lawyers(s): William B. Brown
Respondent(s): UBS Financial Services Inc., Michele Aldo
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Alun Hywel Jones, James W. Kambas, Martin J. DeGennaro
Hearing Site: Hartford, CT
|  | $0 |
| 11-02196 | 09/05/2012 | Claimant(s): Margaret Hill
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Howard D. Jacob, Alida D. Camp, Howard S. Quinn
Hearing Site: New York, NY
| | $1,471,190 |
| 11-03635 | 09/05/2012 | Claimant(s): PR Liquidating Trust
Claimant Lawyers(s): Andrew B. Sommerman
Respondent(s): Meadowbrook Securities LLC
Respondent Lawyers(s): Alberta Williams
Arbitrator(s): William E. Hartsfield
Hearing Site: Dallas, TX
| | $6,959,750 |
| 12-00243 | 09/05/2012 | Claimant(s): Jonathan McKinzie, LaSandra McKinzie, Tashara McKinzie
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): R. Van Young
Hearing Site: Birmingham, AL
| | $0 |
| 12-00430 | 09/05/2012 | Claimant(s): Geary Stevenson
Claimant Lawyers(s): Geary Stevenson
Respondent(s): Nationwide Investment Services Corp
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Denzil J. Klippel
Hearing Site: New York, NY
| | $0 |
| 12-01130 | 09/05/2012 | Claimant(s): Suzanne Smith, Stanford A. Smith, Jr.
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Frederick H. Bruce
Hearing Site: New Orleans, LA
| | $213 |
| 09-06716 | 09/04/2012 | Claimant(s): Roseann Tracy
Claimant Lawyers(s): Jahan K. Manasseh
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Seth H. Barsky, James A. Christopherson, Anthony W. Candela
Hearing Site: Detroit, MI
| | Expungement |
| 11-00237 | 09/04/2012 | Claimant(s): Metropolitan Bank Group., NC Bancorp.
Claimant Lawyers(s): Benjamin D. Reichard
Respondent(s): Jack Whitaker, Suntrust Robinson Humphrey.
Respondent Lawyers(s): David L. Balser
Arbitrator(s): Thomas F. Mahoney, Susanne J. Hollander, G. Marshall Abbey
Hearing Site: Chicago, IL
| | Expungement |
| 11-02065 | 09/04/2012 | Claimant(s): William Brown
Claimant Lawyers(s): William E. Brown
Respondent(s): Dave Osborn, TD Ameritrade., Ken Sitnick, Watts Ha, RNC Center Capital Management
Respondent Lawyers(s): Compliance Officer, Dave Osborn, Hollie S. Mason
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $213 |
| 11-04205 | 09/04/2012 | Claimant(s): Jerry Stiffel
Claimant Lawyers(s): Jerry Stiffel
Respondent(s): First Southwest Company
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): Mark C. Perry, John J. Phelan, Myron S. Dunay
Hearing Site: Boca Raton, FL
| | $0 |
