| 09-03580 | 08/10/2011 | Claimant(s): Kenneth C Thompson IRA, Kenneth C Thompson Living Trust
Claimant Lawyers(s): L Steven Goldblatt
Respondent(s): Neil Harrison
Respondent Lawyers(s): Neil R. Harrison
Arbitrator(s): Keith D. Patten, Joseph R. Soraghan, Raymond Przybylowski
Hearing Site: St. Louis, MO
|  | $0 |
| 10-00615 | 08/09/2011 | Claimant(s): AEO Management Co., American Eagle Outfitters.
Claimant Lawyers(s): Richard T. Victoria
Respondent(s): Sanford Haber
Respondent Lawyers(s): Theodore A. Krebsbach
Arbitrator(s): James A. Laurenson, Clifford E. Marstiller, Francis A. King
Hearing Site: Pittsburgh, PA
| | Expungement |
| 10-02489 | 08/09/2011 | Claimant(s): The Estate of Charles Daniels, Charles Daniels Trust, Daniels Family Trust
Claimant Lawyers(s): Thomas O'Connor
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., William Tomes
Respondent Lawyers(s): Dana S. Gloor
Arbitrator(s): Robert F. Sanville, Vernon C. Walker, John W. Lear
Hearing Site: Philadelphia, PA
| | Expungement |
| 08-01087 | 08/09/2011 | Claimant(s): Deborah Carroway, Gail Abdelnour, Michael Carroway & Robert James Carroway, James and Odette Abdelnour, Michael and Roslyn Abdelnour
Claimant Lawyers(s): Philip M. Giordano
Respondent(s): Joseph Crespi, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Brian Ellis
Arbitrator(s): Peter Svorinic, James R. Collins, Roger Carl Markhus
Hearing Site: Boston, MA
| | $0 |
| 10-01541 | 08/09/2011 | Claimant(s): Thomas Mulvey and Diane Mulvey
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn Roe Eldridge
Arbitrator(s): Mark C. Perry, Howard Bernstein, Antonio M. Freire
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05055 | 08/09/2011 | Claimant(s): Richard Skop and Lynne Skop
Claimant Lawyers(s): Jeffrey B. Kelvin
Respondent(s): Wells Fargo Advisors, Elaine Regan
Respondent Lawyers(s): Elaine Juliano Regan, Patricia E. Cowart
Arbitrator(s): Daniel M. Mankowski, Gust D. Servis, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $0 |
| 10-02021 | 08/08/2011 | Claimant(s): William Neidner, Margaret L. Neidner Trust DTD 6/25/84
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): NewBridge Securities Corp.
Respondent Lawyers(s): Rose M. Schindler
Arbitrator(s): Harold S. Stern, Nikola Bjelajac, Marvin John Cashion
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 10-02729 | 08/08/2011 | Claimant(s): Tim Joslen
Claimant Lawyers(s): David A. Sacks
Respondent(s): Gary Akiyama, Symetra Investment Services.
Respondent Lawyers(s): Shannon L. McDougald
Arbitrator(s): Thomas L. Reveley, Frederic E. Dorkin, T. Dennis George
Hearing Site: Seattle, WA
| | $293,633 |
| 09-05301 | 08/05/2011 | Claimant(s): Darlene Hill, Darlene B. Hill, Trustee of the
Claimant Lawyers(s): Roger N. Walter
Respondent(s): Wachovia Securities, Thomas Gresham
Respondent Lawyers(s): Patrick J. Whalen
Arbitrator(s): Charles H. Lewis, James A. Hayes, Michelle S. Minor
Hearing Site: Kansas City, MO
| | $260,000 |
| 10-02160 | 08/05/2011 | Claimant(s): Richard Irsay, Steven Irsay
Claimant Lawyers(s): Steven Irsay
Respondent(s): Wachovia Securities, Danica King, Daniel Hughes, Gregory Wells, Woodrow Jones
Respondent Lawyers(s): Danica King, Steven D. Hamilton
Arbitrator(s): Lee H. Goodman, Leonard Arthur Nelson, Suanne F. Goldman
Hearing Site: Chicago, IL
| | $78,343 |
