| 11-02228 | 01/20/2012 | Claimant(s): William Brandt
Claimant Lawyers(s): William H. Brandt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael H. McConihe, Robert Charkovsky, Larry E. Ray
Hearing Site: Washington, DC
|  | $0 |
| 10-03381 | 01/19/2012 | Claimant(s): Todd Klumok, Ted Raker and Doris B. Raker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Thomas H. O'Connor, Mary Margaret Bush, Arocles Aguilar
Hearing Site: Atlanta, GA
| | $66,174 |
| 10-05370 | 01/19/2012 | Claimant(s): Tim Haug
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Richard Ryan, VSR Financial Services.
Respondent Lawyers(s): Theodore C. Houdek
Arbitrator(s): Murray S. Levin, Barry D. Estell, Ronald G. Bruch
Hearing Site: Kansas City, MO
| | $119,260 |
| 11-01641 | 01/19/2012 | Claimant(s): Kristopher Mathis, U/W/O Harold J Mathis FBO
Claimant Lawyers(s): Harold J. Mathis
Respondent(s): Citigroup Global Markets., Joseph Calabrese
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): W. Merrill Glasgow
Hearing Site: Houston, TX
| | $0 |
| 10-03006 | 01/17/2012 | Claimant(s): James Lockwood
Claimant Lawyers(s): Jennifer Walsh Hammer
Respondent(s): Gary Lowery, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Adam Kauff, Patrick G. King
Arbitrator(s): Frank R. Niederman, Arne R. Rode, Leon Fox
Hearing Site: Chicago, IL
| | Expungement |
| 11-00416 | 01/17/2012 | Claimant(s): Martha Thomas, Robert Thomas
Claimant Lawyers(s): Johanna S. Fowler
Respondent(s): Wachovia Securities, Wells Fargo Advisors
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): John Russell Barlow
Hearing Site: Charlotte, NC
| | $24,880 |
| 10-04453 | 01/17/2012 | Claimant(s): Francis Lo Bosco
Claimant Lawyers(s): Steven Thomas
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Blackrock Investments
Respondent Lawyers(s): John C. Kelly
Arbitrator(s): Marilyn Chin, S. Charles Tabak, David Dixon Green
Hearing Site: Newark, NJ
| | $0 |
| 11-02453 | 01/17/2012 | Claimant(s): Joyce Abel
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Lincoln Benefit Life Company, RBC Capital Markets Corporatio
Respondent Lawyers(s): Julie Thrall Burrow, Maya Ewing Williams
Arbitrator(s): Jerome O. Cohen
Hearing Site: Seattle, WA
| | $213 |
| 08-02235 | 01/13/2012 | Claimant(s): Northgate Minerals Corporation
Claimant Lawyers(s): Eric Levine
Respondent(s): Lars Jacobson, Roland Hansalik
Respondent Lawyers(s): Philip E. Cook
Arbitrator(s): Peter L. Sill, Robert W. Pillitteri, Mark Harris Adams
Hearing Site: Seattle, WA
| | Expungement |
| 09-06962 | 01/13/2012 | Claimant(s): Bruce Norman, David Robertson, Donald Reutlinger, Glenn Spaur, Hardy Hodges, Henry Burns, James DeMartini, Janell Reutlinger, Jarod Kuntz, John Beaupre, Kenneth Hofmeister, Kimber Heineman, Lawrence Berg, Leslie Schifferns, Lou Burns, Mary Hofmeister, Merle Allen, Pamela Kuntz, Richard Faulkner, Ruth DeMartini, et al
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Capwest Securities.
Respondent Lawyers(s): Tom Fehn
Arbitrator(s): Thaddeus J. Tecza, Martin M. Berliner, John Fleming Kelly
Hearing Site: Denver, CO
| | $9,120,500 |
