| 10-01143 | 09/26/2011 | Claimant(s): Gerald L. Smolensky
Claimant Lawyers(s): Eliot Goldstein
Respondent(s): Neuberger Berman
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Robert J. Morris, Gary L. Hodge, Elwin Lawrence Saviet
Hearing Site: Tampa, FL
|  | $109,000 |
| 10-03018 | 09/26/2011 | Claimant(s): M. Gill
Claimant Lawyers(s): William B.L. Little
Respondent(s): SunTrust Investment Services., Deborah Turnley, Jerry Smith
Respondent Lawyers(s): Erica T. Meyers
Arbitrator(s): Sharon A. McCloskey
Hearing Site: Raleigh, NC
| | Expungement |
| 10-00721 | 09/23/2011 | Claimant(s): Ron Barry, Susan Barry
Claimant Lawyers(s): Ron Barry
Respondent(s): Kenneth Lynn, Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Stephen J. Storen, Richard Weinberger, Leah R. Marks
Hearing Site: New York, NY
| | Expungement |
| 10-02011 | 09/23/2011 | Claimant(s): Stanley Fela
Claimant Lawyers(s): Louis H. Miron
Respondent(s): Thomas Caprio
Respondent Lawyers(s): Richard DeVita
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | Expungement |
| 10-04673 | 09/23/2011 | Claimant(s): Bruce D. Angiolillo and Carol Angiolillo
Claimant Lawyers(s): Mitchell Berns
Respondent(s): Neuberger Berman LLC
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Susan Mills Richmond, Zuhayr A. Moghrabi, Erica Bunin
Hearing Site: New York, NY
| | $1,125,140 |
| 09-02550 | 09/22/2011 | Claimant(s): Christian Brothers University Endowment
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Amy C. Worrell
Arbitrator(s): Jerry Schuchman, Ian S. Greig, Robert Kevin O'Mara
Hearing Site: Memphis, TN
| | $432,436 |
| 09-06910 | 09/22/2011 | Claimant(s): Santanna Natural Gas Corporation
Claimant Lawyers(s): Benjamin H. Hathaway
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Scott Branson
Respondent Lawyers(s): Michael A. Rodriguez
Arbitrator(s): David G. Beerbower, William Edward Buck, Selenne Calhamer
Hearing Site: Houston, TX
| | Expungement |
| 10-01999 | 09/22/2011 | Claimant(s): Mary Pitman
Claimant Lawyers(s): Steven D. Toskes
Respondent(s): United Equity Securities
Respondent Lawyers(s): William B. Park
Arbitrator(s): George Felos, Frank Brenner, Jason D. White
Hearing Site: Tampa, FL
| | $248,800 |
| 10-02745 | 09/22/2011 | Claimant(s): Ingrid Scolet, Joe Scolet, Services on the Move
Claimant Lawyers(s): Christopher P. Porter
Respondent(s): Edward Jones
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Richard J. Lawrence, Harry L. Striplin, Nina Vallion
Hearing Site: Boise, ID
| | Expungement |
| 09-06022 | 09/22/2011 | Claimant(s): Dallas Blagg, Robyn Ward-Blagg
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Robert J. Gregory, James Douglas Haigh, Sam Adatto Kayem
Hearing Site: Dallas, TX
| | $0 |
