| 08-03635 | 06/07/2011 | Claimant(s): Loren Hulber
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): E. William Pastor, Peter D. Shelp, Rochelle K. Kaplan
Hearing Site: Philadelphia, PA
|  | $0 |
| 10-04627 | 06/07/2011 | Claimant(s): June S McAnally Revocable Living Trust
Claimant Lawyers(s): Robert Wayne McPherson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): James J. Ashe
Hearing Site: Memphis, TN
| | $213 |
| 10-04755 | 06/07/2011 | Claimant(s): Andrew Schroder
Claimant Lawyers(s): Andrew Schroder
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): George R. Canty
Hearing Site: Boca Raton, FL
| | $350 |
| 09-04506 | 06/06/2011 | Claimant(s): Shirley Larson, Wallace Larson
Claimant Lawyers(s): Christopher A. Grgurich
Respondent(s): Howard Egeland
Respondent Lawyers(s): Howard J. England
Arbitrator(s): Emily B. Boote, Douglas J. Nesbit, Robert Drae Venters
Hearing Site: Minneapolis, MN
| | $363,000 |
| 10-04053 | 06/06/2011 | Claimant(s): Chanht Reatrey KEO
Claimant Lawyers(s): Chanht Reatrey Keo
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Thomas J. LoSavio
Hearing Site: San Francisco, CA
| | $0 |
| 10-03756 | 06/03/2011 | Claimant(s): Adam Tymrakiewicz, Rosemarie Tymrakiewicz
Claimant Lawyers(s): Stephen R. Baylerian
Respondent(s): Jason Mutascio, Brewer Financial Services
Respondent Lawyers(s): Adam Erickson, President, Jason Michael Mutascio
Arbitrator(s): Martin I. Reisig
Hearing Site: Detroit, MI
| | $64,225 |
| 10-00693 | 06/02/2011 | Claimant(s): Clayton Krause, Ila Krause
Claimant Lawyers(s): Clayton K. Krause
Respondent(s): FMSBonds.
Respondent Lawyers(s): Dennis A. Richard
Arbitrator(s): C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 10-05519 | 06/02/2011 | Claimant(s): Randolph Haaran
Claimant Lawyers(s): Randolph Haaran
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Joseph K. Donovan
Arbitrator(s): Keely D. Parr
Hearing Site: Albany, NY
| | $0 |
| 10-03782 | 06/01/2011 | Claimant(s): James J. Pine
Claimant Lawyers(s): R Brannon Kahlstorf
Respondent(s): Wells Fargo Advisors, Samuel Jew
Respondent Lawyers(s): Kermit L. Kendrick
Arbitrator(s): John G. Manley
Hearing Site: Memphis, TN
| | $225 |
| 09-05894 | 05/31/2011 | Claimant(s): John Hart
Claimant Lawyers(s): Jeffrey R. Sonn
Respondent(s): UBS Financial Services Inc., Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Gawley, Keith Olin
Arbitrator(s): Paul E. Flora, Thomas J. Patka, Gary E. Marcus
Hearing Site: Tampa, FL
| | Expungement |
