| 10-02838 | 09/14/2011 | Claimant(s): Darrell Linder, Virginia Cooley-Linder, Cooley-Linder Retail Property, Cooley-Linder's French Quarter, Virginia C. Linder & Darrell F. Linder L
Claimant Lawyers(s): A. Thomas Tenenbaum, Richard A. Nervig
Respondent(s): Larry Behrends, Capwest Securities, Workman Securities Corporation
Respondent Lawyers(s): Christopher P. Parrington, Larry I. Behrends, Orly Davidi
Arbitrator(s): Timothy E. Taggart, Avery B. Goodman, William Louis Anthes
Hearing Site: Denver, CO
|  | $854,639 |
| 10-03837 | 09/14/2011 | Claimant(s): The Richard Steinberg Living Trust
Claimant Lawyers(s): David E. Bamberger
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): David G. Smitham
Arbitrator(s): Kinchen C. Bizzell, Alun Hywel Jones, Ivan W. Harper
Hearing Site: New York, NY
| | $0 |
| 10-00781 | 09/13/2011 | Claimant(s): Alice Youngblood
Claimant Lawyers(s): Scott Ellis
Respondent(s): Patrick Hynes, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Jonathan Burke Rada, Michael S. Wilk, Michael L. Landrum
Hearing Site: Houston, TX
| | Expungement |
| 10-02949 | 09/13/2011 | Claimant(s): Eugene Russo, Mary Cammarano
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Michael Zaretsky
Arbitrator(s): Leona Beane, Harold Glenn Stafford, David J. Weisenfeld
Hearing Site: New York, NY
| | Expungement |
| 11-01093 | 09/13/2011 | Claimant(s): Sheryl Mead
Claimant Lawyers(s): Herbert E. Pounds
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
| 10-04646 | 09/12/2011 | Claimant(s): Ruth Kosco
Claimant Lawyers(s): Jon A. Titus
Respondent(s): John Hebert, Morgan Stanley
Respondent Lawyers(s): Karl L. Marquardt
Arbitrator(s): Jerry H. Friedland, Robert S. Mautner, Jeffrey Charles Evanello
Hearing Site: Phoenix, AZ
| | $23,188 |
| 10-02604 | 09/09/2011 | Claimant(s): David N. Russell 2000 Trust
Claimant Lawyers(s): Lars K. Soreide
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Steven N. Ainbinder
Hearing Site: Boca Raton, FL
| | $37,731 |
| 10-02877 | 09/09/2011 | Claimant(s): Augusta Feinstein, Henry Feinstein, Augusta R. Feinstein Rollover IRA, Henry Feinstein Roth IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen H. Kupperman
Arbitrator(s): Richard D. Fincher, Paul D. Butt, Loren Scott Buell
Hearing Site: Phoenix, AZ
| | $146,146 |
| 10-04120 | 09/09/2011 | Claimant(s): Mary Pihlak
Claimant Lawyers(s): James W. George
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Robert L. Yeager
Hearing Site: Dallas, TX
| | $32,671 |
| 10-04788 | 09/09/2011 | Claimant(s): Pavillion Trading LLC
Claimant Lawyers(s): Irwin Stein
Respondent(s): James Kupfer, Penson Financial Services., Transcend Capital LLC
Respondent Lawyers(s): Ben Broocks, Lee Polson, Tim Davis
Arbitrator(s): Michael G. Hanlon
Hearing Site: Boise, ID
| | Expungement |
