| 10-05297 | 10/27/2011 | Claimant(s): Rosalin Rogers
Claimant Lawyers(s): Rosalin Rogers
Respondent(s): Randall Pope
Respondent Lawyers(s): Randall Lane Pope
Arbitrator(s): Joann Peters, Robert L. Yeager, Jay M. Vogelson
Hearing Site: Dallas, TX
|  | $182,334 |
| 09-03969 | 10/27/2011 | Claimant(s): Ronald Kief IRA, The Ronald Kief Trust Account, The Rosa Lynn Kief Family Trust
Claimant Lawyers(s): Paul L. Nine
Respondent(s): David Pappas, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): James L. Karpen, Lee Hornberger, Pamela Mary Lindner
Hearing Site: Detroit, MI
| | $0 |
| 10-00019 | 10/27/2011 | Claimant(s): Joaquin Egberto Ramirez Marcillo & Maria
Claimant Lawyers(s): Barbara J. Riesberg
Respondent(s): Julio Almeyda, Morgan Keegan & Company.
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Barth Satuloff, Barry David Thorpe, Stephen Trigg Kuhn
Hearing Site: Miami, FL
| | $0 |
| 10-02151 | 10/27/2011 | Claimant(s): Bernard Millis
Claimant Lawyers(s): Bernard Millis
Respondent(s): Frederick Wagner, Morgan Stanley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Margaret Mary Crumley, James Fruehling, Robert C. Scanlan
Hearing Site: Philadelphia, PA
| | $0 |
| 10-03262 | 10/27/2011 | Claimant(s): Thomas Corcoran
Claimant Lawyers(s): Stewart L. Weisman
Respondent(s): Dario Vacco, Steven Pickard, Pinnacle Investments
Respondent Lawyers(s): Jennifer R. Seltenrich
Arbitrator(s): Ralph L. Halpern, Jennifer L. Bliss, Norman Foxman
Hearing Site: Syracuse, NY
| | $0 |
| 09-06573 | 10/26/2011 | Claimant(s): Robert Goldenberg
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Douglas Castro, Charles Schwab & Co..
Respondent Lawyers(s): Dan Rabinovitz
Arbitrator(s): Diane Getzler, Stephen M. Gross, Gregory J. Getz
Hearing Site: New York, NY
| | Expungement |
| 09-05813 | 10/25/2011 | Claimant(s): Robert Hall and Helen Hall
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Timothy Kelly
Respondent Lawyers(s): Timothy Llewellyn Kelly
Arbitrator(s): Brian J. Dunn, Jack B. Golden, Mary Elizabeth Satran
Hearing Site: Hartford, CT
| | $89,250 |
| 11-00045 | 10/25/2011 | Claimant(s): Michael Mohan
Claimant Lawyers(s): Joseph P. Webber
Respondent(s): Citigroup Global Markets., Morgan Stanley, Robert Marwill, Steven Mechlowicz
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): James E. Schlottmann, Jerry C. Prestridge, Bertrand C. Moser
Hearing Site: Houston, TX
| | $674,755 |
| 11-00110 | 10/25/2011 | Claimant(s): Jane Galvan, Jane Galvan Trust
Claimant Lawyers(s): Donald L. Saltzman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): Madeleine Kleinman, Joyce L. Hurley, Kevin Joseph Pilon
Hearing Site: Los Angeles, CA
| | Expungement |
| 09-04970 | 10/24/2011 | Claimant(s): Debbie Kuerth, Steve Kuerth
Claimant Lawyers(s): David Neuman
Respondent(s): Jon Pearn
Respondent Lawyers(s): Carla B. Minckley
Arbitrator(s): Lee H. Goodman, Michael Stephen Knight, James A. Murphy
Hearing Site: Chicago, IL
| | Expungement |
