| 10-05772 | 06/06/2012 | Claimant(s): Dani Eder IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): David N. Luder
Arbitrator(s): Linda B. Kelly, Jeffrey M. Allen, Donald Dreyfus
Hearing Site: Birmingham, AL
|  | $0 |
| 11-00862 | 06/06/2012 | Claimant(s): Melaine LLC
Claimant Lawyers(s): Richard Kraut
Respondent(s): Neal Deutsch, Chestnut Investment Group, First Allied Securities.
Respondent Lawyers(s): Michael Schwartzberg
Arbitrator(s): Linda R. Alpert, Linda Ashley, Sheryl-Anne Sastow
Hearing Site: New York, NY
| | $0 |
| 10-02280 | 06/05/2012 | Claimant(s): The Kevin S. Phillips Define Benefit
Claimant Lawyers(s): Martin R. Galbut
Respondent(s): Angela Phillips, Kevin Phillips, Woodbury Financial Services.
Respondent Lawyers(s): Jeffrey D. Hedlund, Robert D. Mitchell
Arbitrator(s): Robert S. McConnell, Thomas P. Delnoce, Marc Kalish
Hearing Site: Phoenix, AZ
| | $171,469 |
| 11-02072 | 06/05/2012 | Claimant(s): Benito Figueras, Clara Fernandez De La Lastra
Claimant Lawyers(s): Juan C. Blasini Gonzalez
Respondent(s): UBS Financial Services Inc. of PR
Respondent Lawyers(s): Guillermo J. Bobonis
Arbitrator(s): Seth L. Finkel, Fredrick T.W. Reed, Robert G. Falbisaner
Hearing Site: San Juan, PR
| | $522,961 |
| 09-03359 | 06/05/2012 | Claimant(s): Shirley Manos, Tom Manos, The Manos Family Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Richard L. Merkel, Karen D. Hanson, John H. Fearnow
Hearing Site: Phoenix, AZ
| | $0 |
| 10-05727 | 06/04/2012 | Claimant(s): Donald Brown
Claimant Lawyers(s): Mary C. Scott-Hattendorf
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Peter S Fruin
Arbitrator(s): Thomas Erique DuVoisin, Steven A. Fox, Thomas L. Marshall
Hearing Site: San Diego, CA
| | $622,000 |
| 11-00453 | 06/04/2012 | Claimant(s): Marvin Antonowsky, Marvin Antonowsky IRA, Antonowsky 1984 Trust UAD 03/23/1989
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): E*Trade Securities LLC, Li-Wei Chang
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, Arthur F. Brueggeman, Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | Expungement |
| 11-02836 | 06/04/2012 | Claimant(s): The Herman Pearl Button Co.., Herman Pearl Button Profit Sharing Plan
Claimant Lawyers(s): William A. Cadel
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Jeffrey D. Fox
Arbitrator(s): Peter A. Goldman
Hearing Site: New York, NY
| | $0 |
| 09-03602 | 06/01/2012 | Claimant(s): Janet Garcie, Sharon Grosskopf, Walter Grosskopf, The Janet K. Garcie Revocable Trust, The Walter and Sharon Grosskopf Trust
Claimant Lawyers(s): Janet Garcie, Walter & Sharon Grosskopf
Respondent(s): Audrey Kuwabara, James Nagle, Michael Ning, Arque Capital, Ltd.
Respondent Lawyers(s): Jared R.B. Hutton, Shirley Hayton
Arbitrator(s): Mandel E. Himelstein, Kevin K. Forrester, D. Brad Callen
Hearing Site: San Diego, CA
| | $0 |
| 11-03322 | 06/01/2012 | Claimant(s): Shelley Branham
Claimant Lawyers(s): Shelley V. Branham
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): William M. Mann
Arbitrator(s): Donald Milo Helton
Hearing Site: Nashville, TN
| | $0 |
