| 10-01343 | 08/01/2011 | Claimant(s): Beatrice McRae, Buford McRae, Robert Lee, B.E. McRae Family Limited Partnership, Robert Earl Lee Rev Trust
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H. Thomas Fehn
Arbitrator(s): Robert L. Chisolm, Richard Frederick Schaufert, James W. Kerr
Hearing Site: Dallas, TX
|  | $931,960 |
| 10-01450 | 08/01/2011 | Claimant(s): Judith Malone
Claimant Lawyers(s): Russ E. Boltz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Chester L. Firestein, Robert A. Lombardi, Robert Weston Armstrong
Hearing Site: Los Angeles, CA
| | $49,976 |
| 08-04893 | 08/01/2011 | Claimant(s): Baker Hughes Incorporated, Baker Hughes Treasury Services GMBH
Claimant Lawyers(s): Richard L. LaGarde
Respondent(s): BNY Mellon Capital Markets LLC
Respondent Lawyers(s): Todd E. Gordinier
Arbitrator(s): John A. Dewald, Robert Dan Sherrill, Lynne M. Gomez
Hearing Site: Houston, TX
| | $0 |
| 09-01331 | 08/01/2011 | Claimant(s): Carl Meisner
Claimant Lawyers(s): Eric L. Rhodes
Respondent(s): David Endres, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): James G. Cooper, Philip I. McConnell, Charles E. Munson
Hearing Site: Houston, TX
| | $375 |
| 08-03816 | 07/29/2011 | Claimant(s): Othello Capital GP, Othello Capital Partners LP
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Jackson Su, Penson Financial Services., Othello Capital Management LLC
Respondent Lawyers(s): Elizabeth A. Frohlich, Janet K. DeCosta
Arbitrator(s): Mark I Preston, Maxel (Bud) B. Silverberg, Theodore Mack
Hearing Site: Dallas, TX
| | $250,000 |
| 09-05640 | 07/29/2011 | Claimant(s): Douglas M. Rudolph Partners, Ltd.
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Franz C. Thame, Jerrold Levine, Bruce M. Alster
Hearing Site: Miami, FL
| | Expungement |
| 09-06732 | 07/29/2011 | Claimant(s): Michael Greenfield
Claimant Lawyers(s): Paul Radvany
Respondent(s): Ronald Hardy
Respondent Lawyers(s): Ronald Edward Hardy
Arbitrator(s): Abigail J. Pessen
Hearing Site: New York, NY
| | $75,508 |
| 09-06804 | 07/29/2011 | Claimant(s): Catherine McMichael, Wallact T. and Catherine McMichael Trust
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Wells Fargo Advisors, Gary Foose
Respondent Lawyers(s): Jack D. Ballard
Arbitrator(s): Ronald R. Simpson, Leonard J. Sullivan, Robert Dan Sherrill
Hearing Site: Houston, TX
| | Expungement |
| 09-02095 | 07/29/2011 | Claimant(s): Braden Partners, L.P., Elsa Gaze Braden Trust, Grant Braden Education Trust
Claimant Lawyers(s): Gerald B. Kline
Respondent(s): Joshua Krentzman, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): Michael J. Stern, Anne H. Orr, George Harrison Lemmond
Hearing Site: Atlanta, GA
| | $0 |
| 09-04236 | 07/28/2011 | Claimant(s): Donald L. Ames Trust U/A DTD 4/9/82, Mary R. Ames Trust U/A DTD 4/9/82
Claimant Lawyers(s): Christopher T. Vernon
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kendra S. Canape
Arbitrator(s): Benjamin L. Abramowitz, David C. Matthews, Robert S. Anderson
Hearing Site: Orlando, FL
| | Expungement |
