| 10-03378 | 10/18/2011 | Claimant(s): Estate of Deborah L. Stein
Claimant Lawyers(s): Patrick Gaffney
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brady J. Hermann
Arbitrator(s): Brian J. Dunn, David J. Kaufman, James Alden Lincoln
Hearing Site: Boston, MA
|  | $0 |
| 10-05692 | 10/18/2011 | Claimant(s): Pamela Poole, Pamela H. Poole IRA, Pamela H. Poole Roth IRA
Claimant Lawyers(s): Todd Ratner
Respondent(s): Overton Graham, RBC Capital Markets LLC
Respondent Lawyers(s): James Cosby
Arbitrator(s): William C. Boinest, Stuart H. Dunn, Leon Henderson
Hearing Site: Richmond, VA
| | $0 |
| 10-04145 | 10/17/2011 | Claimant(s): James Fraser, Nancy Fraser
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Dean Smith, Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): Stephen D Kursman, William M. Azkoul, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $52,500 |
| 10-02781 | 10/14/2011 | Claimant(s): Lina Palacio
Claimant Lawyers(s): Lina M. Palacio
Respondent(s): Raymond King, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Scott Holcomb
Arbitrator(s): Deborah A. Jackson
Hearing Site: Atlanta, GA
| | $15,000 |
| 10-02759 | 10/14/2011 | Claimant(s): Saadeh Corporation
Claimant Lawyers(s): Richard M Osborne
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Richard L. Rubin, Gary H. Kahn, James Edward Forbes
Hearing Site: San Francisco, CA
| | $0 |
| 10-03323 | 10/14/2011 | Claimant(s): Kumar Desai, Subodh Desai
Claimant Lawyers(s): F. Homi Cooper
Respondent(s): New England Securities, Metlife Securities.
Respondent Lawyers(s): Mark J. Crandley
Arbitrator(s): Michael Nathanson, Raymond P. Buschmann, Jerome K. Rumps
Hearing Site: Chicago, IL
| | $0 |
| 09-05944 | 10/13/2011 | Claimant(s): Ingeborg Eaves
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-00950 | 10/13/2011 | Claimant(s): OC Partners Inc.
Claimant Lawyers(s): Robert Paul Travis
Respondent(s): David Tucker, RBC Dain Rauscher.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Helen Marinak Blohm, Alexander L. Mazour, Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 10-02351 | 10/13/2011 | Claimant(s): Robert Sudduth, The Robert Sudduth Family Trust
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): Penson Financial Services.
Respondent Lawyers(s): Mark G. Hanchet
Arbitrator(s): Frederick H. Bruce, Leon T. Roberts, Jeffrey Ackermann
Hearing Site: New Orleans, LA
| | $0 |
| 10-03222 | 10/13/2011 | Claimant(s): Anthony Hanna, Debra Hanna, 2001 Anthony J. and Debra F. Revocable T
Claimant Lawyers(s): Irwin Stein
Respondent(s): Dale Hall, David Smith, Kathleen Heshelow, Lawrence Lambert, Michelle Langer, Robert Tweed, Ronald Ellis, Capwest Securities.
Respondent Lawyers(s): David L. Smith, H Thomas Fehn, Orly Davidi
Arbitrator(s): Alan Stamm, A. Joel Klein, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
