| 10-03511 | 10/04/2011 | Claimant(s): Angela Allen, Christopher Allen, Angela Allen IRA, Christopher M. Allen IRA
Claimant Lawyers(s): Bruce W. Barnes
Respondent(s): Thinkorswim.
Respondent Lawyers(s): Howard J. Kaplan
Arbitrator(s): Diana A. Weiner, Dennis R. Sullivan, Charles W. Lavender
Hearing Site: Tampa, FL
|  | $228,000 |
| 11-01384 | 10/04/2011 | Claimant(s): Margot Mandel
Claimant Lawyers(s): Colleen Marmor
Respondent(s): Kumbirai Mtunga
Respondent Lawyers(s): Kumbirai Vincent Mtunga
Arbitrator(s): Robert E. Jenks
Hearing Site: Los Angeles, CA
| | $3,000 |
| 09-03931 | 10/03/2011 | Claimant(s): Lulu Coffey, Robert Coffey, Robert & Lulu Coffey Living Trust dd 11/, Scott P. Keil Trust U/W, FBO Douglas Kei
Claimant Lawyers(s): David Harrison
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): John Alen DeRosa, Madeleine Kleinman, Melvin S. Feldman, Adam Michael Porter, Marc S. Joseph, Christopher L. Mass
Hearing Site: Los Angeles, CA
| | $0 |
| 09-06525 | 09/30/2011 | Claimant(s): Gerald Bamberger, Maxine Bamberger
Claimant Lawyers(s): Robert J. Benbenek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Donald J. Mehan
Arbitrator(s): Thomas J. Ray, Judith A. Payuk, Marilyn T. Selby
Hearing Site: St. Louis, MO
| | Expungement |
| 10-01871 | 09/30/2011 | Claimant(s): Gordon Sympson, Gordon Sympson and Associates
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): James J. Ashe
Hearing Site: Nashville, TN
| | $8,386 |
| 10-03635 | 09/30/2011 | Claimant(s): Marcella Wall
Claimant Lawyers(s): Byron L. Milner
Respondent(s): Jonathon Leise, Paul Hagerty, Janney Montgomery Scott LLC
Respondent Lawyers(s): Christine M. Debevec
Arbitrator(s): Guillermo L. Bosch, Julie K. Chapin, Carla Fisher
Hearing Site: Philadelphia, PA
| | $10,000 |
| 10-04690 | 09/30/2011 | Claimant(s): Margaret Marshall, William Marshall
Claimant Lawyers(s): Margaret R. Marshall
Respondent(s): UBS Financial Services Inc., Kyle Luthy
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): Earle J. Schwarz
Hearing Site: Birmingham, AL
| | $0 |
| 10-05028 | 09/30/2011 | Claimant(s): William Dale Kelly and Joan Hull Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Lawrence Miller, Investment Security Corporation
Respondent Lawyers(s): Lawrence Benjamin Miller, Lee David Lubin
Arbitrator(s): Ferdinand Schoch, Gary S. DeWeese, Richard Ullman
Hearing Site: San Francisco, CA
| | $0 |
| 10-00674 | 09/29/2011 | Claimant(s): The Core Fund
Claimant Lawyers(s): Victoria H Buter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Gordon R. Bowker, Maurice M. Feller, Andrew Karay
Hearing Site: Tampa, FL
| | $0 |
| 10-05785 | 09/29/2011 | Claimant(s): Orval Beckmon
Claimant Lawyers(s): Barry D. Estell
Respondent(s): TD Ameritrade Clearing., TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): James A. Hayes, Wilburta Ann Willey, John James Rubin
Hearing Site: Wichita, KS
| | $0 |
