| 10-02477 | 08/25/2011 | Claimant(s): Frank Griswold
Claimant Lawyers(s): Christopher J. Slottee
Respondent(s): John Jeffers, Burch & Company
Respondent Lawyers(s): Dennis J. Kelly
Arbitrator(s): John F. Cockburn, James A. Bishop, Roy J. Moceri
Hearing Site: Anchorage, AK
|  | $350,000 |
| 09-01364 | 08/25/2011 | Claimant(s): Debra Swann
Claimant Lawyers(s): Debra Swann
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): M. Michael Cramer, Brenda J. Stovall, Evelyn D. Pisegna-Cook
Hearing Site: Baltimore, MD
| | $30,000 |
| 09-00565 | 08/25/2011 | Claimant(s): Jozsef Tasko
Claimant Lawyers(s): Ira Scot Meyerowitz
Respondent(s): Citigroup Global Markets., Robert Buonanno
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Frank Irizarry, Joan M. Traub, Jacob Scherer
Hearing Site: New York, NY
| | $0 |
| 10-02046 | 08/25/2011 | Claimant(s): Maurice Rosen
Claimant Lawyers(s): Richard A. Roth
Respondent(s): Edward Short, EKN Financial Services Inc.
Respondent Lawyers(s): Bradley D. Schnur, Mark J. Astarita
Arbitrator(s): Neil G. Gargiulo, Camille S. Cooper, Jettie K. Thomas
Hearing Site: New York, NY
| | $0 |
| 10-02002 | 08/23/2011 | Claimant(s): Deborah M. Menten Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Howard N. Kahn, Richard S. Zaifert, Dale H. Van Scoyk
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 11-01712 | 08/23/2011 | Claimant(s): Carl Neuss, Carla Neuss, Elaine Neuss, Hitching Rail Investors, One Westheimer Investors, LTD DBPP, Pacific Venture Associates Inc. DBPP, Pacific Ventures Associates., Pacific Ventures Associates. 401K, Alex Neuss UTMA, Carla Neuss UTMA, Rebecca Neuss UTMA, Carl F. Neuss Beneficiary IRA, Carl F. Neuss IRA, Elaine P. Neuss IRA, Neuss Family Trust, Prairiestone Investment Trust
Claimant Lawyers(s): Martin B. Greenbaum
Respondent(s): John Evans
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Robert D. Sussin, Robert C. Albini, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-05821 | 08/23/2011 | Claimant(s): Ruth Lally
Claimant Lawyers(s): Adam S. Tracy
Respondent(s): Stifel, Nicolaus & Co.., Renee Raymond
Respondent Lawyers(s): Keith M. Lahay
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
| 10-03587 | 08/19/2011 | Claimant(s): Cindy Tronsrue, Florence Tronsrue, George Tronsrue, Nancy Frei, Jericho Fund
Claimant Lawyers(s): Donald H. Mullins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Phil Scott
Respondent Lawyers(s): Nathan T. Alexander
Arbitrator(s): Joseph C. Roberts, Peter L. Sill, Ronald E. Lorentsen
Hearing Site: Seattle, WA
| | $0 |
| 10-04142 | 08/19/2011 | Claimant(s): Michael Bender
Claimant Lawyers(s): Carl R. Anderson
Respondent(s): Steve Shmatko, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Joe S. Tarrer
Hearing Site: Phoenix, AZ
| | $0 |
| 09-01700 | 08/18/2011 | Claimant(s): Gus Sekas
Claimant Lawyers(s): Gus Sekas
Respondent(s): George Legakis, J. P. Turner & Company, L.L.C.
Respondent Lawyers(s): Jonathan Kurta
Arbitrator(s): Vicki Z. Holleman, Peter A. Goldman, Mary Noe
Hearing Site: New York, NY
| | $0 |
