| 10-05057 | 06/17/2011 | Claimant(s): George Froyd
Claimant Lawyers(s): John F Hanzel
Respondent(s): Brian Sohovich, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
|  | $1,163 |
| 10-05675 | 06/17/2011 | Claimant(s): Bette Gell, Russell Gell, Russell and Bete Gell
Claimant Lawyers(s): Rose M. Schindler
Respondent(s): David Witter
Respondent Lawyers(s): Eric A. Lanigan
Arbitrator(s): Alun Hywel Jones
Hearing Site: Orlando, FL
| | $5,805 |
| 10-05734 | 06/17/2011 | Claimant(s): Jon Ann Hockersmith
Claimant Lawyers(s): Jon Ann Hockersmith
Respondent(s): Morgan Stanley, Stephen Ledyard
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Virginia H. Wertz
Hearing Site: Phoenix, AZ
| | $17,673 |
| 10-04644 | 06/17/2011 | Claimant(s): Florence Ford
Claimant Lawyers(s): Florence G. Ford
Respondent(s): Richard Proia
Respondent Lawyers(s): Richard Joseph Proia
Arbitrator(s): Myron S. Dunay
Hearing Site: Boca Raton, FL
| | $0 |
| 10-05558 | 06/17/2011 | Claimant(s): Clyde Demazeliere
Claimant Lawyers(s): Edward A. Rodrigue
Respondent(s): Morgan Stanley, Michael Gagliardi
Respondent Lawyers(s): Harper Robinson
Arbitrator(s): John C. Yeoman
Hearing Site: New Orleans, LA
| | $213 |
| 08-04763 | 06/16/2011 | Claimant(s): Steven L. West & Judith West Jt Rev Tr
Claimant Lawyers(s): Bradford M. Gucciardo
Respondent(s): James Shawver, William Isaacson, Newbridge Securities Corporation
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Robert H. Hagan, David P. Slater, Herbert Branitsky
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-06203 | 06/16/2011 | Claimant(s): John Colley, LaNita Colley
Claimant Lawyers(s): W. David Carter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith A. Cunningham
Arbitrator(s): Lewis W. Pollok, Patricia B. Lehtola, Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
| | $73,000 |
| 09-06859 | 06/16/2011 | Claimant(s): Dr. Donald Steinberg Revocable Trust
Claimant Lawyers(s): Donald Steinberg
Respondent(s): Citigroup Global Markets., Morgan Stanley, Thomas Konopka
Respondent Lawyers(s): Jon A. Jacobson
Arbitrator(s): Stan West
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-00880 | 06/16/2011 | Claimant(s): Farideh Bagne
Claimant Lawyers(s): John A Hubbard
Respondent(s): David Dickman, Jack Csernits, Jacob Taylor, J.P. Morgan Securities, Michael Malone, Michael Riechenbach, JP Morgan Chase Bank, NA
Respondent Lawyers(s): Christopher M. Burky
Arbitrator(s): Edward M. Olson, Brace K. Case, Leonard G. Hendricks
Hearing Site: Detroit, MI
| | $0 |
| 10-03819 | 06/15/2011 | Claimant(s): B. Williams
Claimant Lawyers(s): Matthew M. Wilkins
Respondent(s): Roger Shaffer, SunTrust Investment Services.
Respondent Lawyers(s): Peter A. Jacxsens
Arbitrator(s): Kenneth I. Daniels, John F. O'Neill, Jerome Jack Shure
Hearing Site: Atlanta, GA
| | Stipulated Award and Expungement |
