| 10-00417 | 10/24/2011 | Claimant(s): John Wesolak, Rhonda Wesolak
Claimant Lawyers(s): Rhonda Wesloak
Respondent(s): Anthony Salino, Lynn Schultz, Ron Ison, Mercer Capital LTD
Respondent Lawyers(s): Anthonly J. Salino, Lynn G. Schultz, Ron J. Ison
Arbitrator(s): Joseph E. Santaularia, Michael D. Fitzgerald, Robert A. Steitz
Hearing Site: Kansas City, MO
|  | $225,000 |
| 09-07219 | 10/24/2011 | Claimant(s): Andre Weiss, Andre Weiss as Cust for Sarah Weiss, Andre Weiss as Cust. for Julian P. Weiss
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Randy R. Freedman
Hearing Site: Boca Raton, FL
| | $0 |
| 10-03515 | 10/24/2011 | Claimant(s): Estelle Thompson
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avital Stadler
Arbitrator(s): David J. Anderson, Holly A. Hart, Delores Manwar
Hearing Site: Birmingham, AL
| | $300 |
| 11-01741 | 10/24/2011 | Claimant(s): Larry Johnson and Elizabeith Johnson
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Daniel David Kopman
Hearing Site: Birmingham, AL
| | $425 |
| 10-05036 | 10/21/2011 | Claimant(s): Douglas Leach
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Gary Purcell, Marco Alfonsi, Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Charles M. O'Rourke, Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie
Arbitrator(s): G. Maynard Green, Robert J. Gregory, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 10-03012 | 10/21/2011 | Claimant(s): John Dugan, John Dugan and Karen Dugan JTWROS
Claimant Lawyers(s): Kevin T. Smith
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A Karoly
Arbitrator(s): Lucy J. Karl, Colette Manoil, Jeffrey Neil Fink
Hearing Site: Boston, MA
| | Expungement |
| 10-04904 | 10/21/2011 | Claimant(s): Caleb L. Batten Trust
Claimant Lawyers(s): Andre R Perron
Respondent(s): Wells Fargo Advisors, Mitchell Halperin
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): John P. Cullem, Patricia Gunn, Henry A. Tenenbaum
Hearing Site: Tampa, FL
| | $110,271 |
| 11-00627 | 10/21/2011 | Claimant(s): Gary Maxwell
Claimant Lawyers(s): Gary R. Maxwell
Respondent(s): Daniel Ahmad
Respondent Lawyers(s): Daniel Shiek Ahmad
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
| | Stipulated Award |
| 11-01650 | 10/21/2011 | Claimant(s): George Shull
Claimant Lawyers(s): George E. Shull
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Cheryl R. Kershner
Hearing Site: San Francisco, CA
| | $0 |
| 10-03857 | 10/20/2011 | Claimant(s): Mary C. Gregory Trust U/A DTD 10/5/77
Claimant Lawyers(s): Richard D. Brady
Respondent(s): Mutual Service Corporation
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): John A. Bender
Hearing Site: Seattle, WA
| | Dismissed by Rule 12206 |
