| 10-05343 | 11/21/2011 | Claimant(s): M. Johnson
Claimant Lawyers(s): J. Noland Franz
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Katherine M. Harmeyer, Amy L. Wachs, Aryka Steele Radke
Hearing Site: Phoenix, AZ
|  | $148,990 |
| 10-03937 | 11/18/2011 | Claimant(s): Annette M. Burton
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Richard Landi, Advent Securities., Community Bankers Securities, Waterford Investor Services.
Respondent Lawyers(s): Frank J. Wainscott, Richard Landi, Steven S. Biss
Arbitrator(s): Henry G. Plaster
Hearing Site: Richmond, VA
| | $35,000 |
| 09-05510 | 11/18/2011 | Claimant(s): Don Insul, Jacquelyn Hicks, Lillian Jalass, Lillian Jalass Trust
Claimant Lawyers(s): James P. Graven
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avi Stadler
Arbitrator(s): Robert G. Conway, Kevin R. Zehe, Kathleen Maher Zouhary
Hearing Site: Cleveland, OH
| | $0 |
| 09-05539 | 11/18/2011 | Claimant(s): Cindy Bridges-Ross
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Alison Konop, David Tuebner, Citigroup Global Markets., Iwona Legge
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Nicholas J. Caputo, James N. D'Orso, Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 10-02979 | 11/18/2011 | Claimant(s): Robert Stafford
Claimant Lawyers(s): Paul S. Chan, Roger H. Foster
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Elliott Zachary Seff, Willard H. Altman, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $0 |
| 10-03328 | 11/18/2011 | Claimant(s): Vincent Bellino
Claimant Lawyers(s): Marc D. Ramundo
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Megan Marmion Christensen
Arbitrator(s): Fred S. Pieroni, Ronald R. Niclas, Jonathan Christian Byron
Hearing Site: Newark, NJ
| | $0 |
| 10-04961 | 11/18/2011 | Claimant(s): Dianne W. Mack IRA, Douglas R. Mack IRA, Douglas R. Mack & Dianne W. Mack, JT TEN
Claimant Lawyers(s): Kendra L. Carpenter
Respondent(s): Money Concepts Capital Corp
Respondent Lawyers(s): Robert N. Rapp
Arbitrator(s): Robert P. Fogarty, W. Sean Kelleher, Gregory P. Szuter
Hearing Site: Columbus, OH
| | $0 |
| 11-01444 | 11/18/2011 | Claimant(s): Coleman Burns
Claimant Lawyers(s): Coleman John Burns
Respondent(s): Wells Fargo Advisors, Steven Perillo
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): S. Charles Tabak
Hearing Site: Newark, NJ
| | $283 |
| 10-00860 | 11/17/2011 | Claimant(s): Christopher Puglisi
Claimant Lawyers(s): Phil Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Edith M. Novack, Margaret Leggett Tarver, Neal D. Baker
Hearing Site: Newark, NJ
| | $707,134 |
| 10-03431 | 11/17/2011 | Claimant(s): Cara Pessel, Eric Pessel, Jason Pessel, David Pessel IRA, David Pessel Roth IRA, Eric Pessel IRA, Jason Pessel IRA, Jason Pessel Roth IRA, Rhona Pessel IRA, Rhona Pessel Roth IRA, Eric Pessel Trust Account, Sylvia Stiftel Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Charles G. Michaels, Thomas L. Dueber, Melissa Dawn Hubbard
Hearing Site: Denver, CO
| | $41,855 |
