| 09-05377 | 05/26/2011 | Claimant(s): Charlotte Hunt, Roderick Hunt
Claimant Lawyers(s): Keil M. Mueller
Respondent(s): Anthony Lodati, Jeffrey Offen, New Castle Financial Services LLC
Respondent Lawyers(s): Brett D. Zinner, Jeffrey L. Offen
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
|  | Expungement |
| 09-06263 | 05/26/2011 | Claimant(s): Earle Ray
Claimant Lawyers(s): Joshua N. Cook
Respondent(s): Jeffrey Schrader, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Marissa Parker, Michael Kalmus
Arbitrator(s): Gerard S. Marsan, Maxwell J. Mahoney, Paul Peter Nicolai
Hearing Site: Boston, MA
| | Expungement |
| 09-02155 | 05/26/2011 | Claimant(s): Cleveland Currie, Maria Currie
Claimant Lawyers(s): Theodore G. Eppenstein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Thomas E. Duggan, Arthur Neil Tolciss
Hearing Site: New York, NY
| | $0 |
| 10-03312 | 05/26/2011 | Claimant(s): Gary Kennedy
Claimant Lawyers(s): Thomas H Kennedy
Respondent(s): Fifth Third Securities., Joseph Reedy, Tanika Edmonds
Respondent Lawyers(s): Robert M. Zimmerman, Tanika Chere Edmonds
Arbitrator(s): Jane D. Lollis
Hearing Site: Indianapolis, IN
| | $0 |
| 05-00015 | 05/25/2011 | Claimant(s): Walter Sherman
Claimant Lawyers(s): Christopher B. Jones
Respondent(s): George Bevins, Patrick McDonnell, Bryn Mawr Securities Corp.
Respondent Lawyers(s): George Bevins, Patrick McDonnell
Arbitrator(s): Philip M. Marshall, Christopher C. Willett, Christopher G. Gibas
Hearing Site: Buffalo, NY
| | $183,000 |
| 09-03961 | 05/25/2011 | Claimant(s): Howard Wilkov, The Wilkov Family Limited Partnership
Claimant Lawyers(s): Samuel L. Butt
Respondent(s): Ameriprise Financial Services., Jennifer Wilkov
Respondent Lawyers(s): Eric R. Breslin, Michael J. Zaretsky
Arbitrator(s): Robert Youdelman, Arnold Wagner, Herman Taub
Hearing Site: New York, NY
| | $501,200 |
| 08-01969 | 05/25/2011 | Claimant(s): Shirley Enlow, Ron L. Enlow Trust
Claimant Lawyers(s): Terry J. Garrett
Respondent(s): Charles Campbell, Wilbanks Securities.
Respondent Lawyers(s): Theodore C. Peters
Arbitrator(s): Phil E. Macy, Richard L. Andeel, Glenn E. Johnson
Hearing Site: Oklahoma City, OK
| | $0 |
| 08-03810 | 05/25/2011 | Claimant(s): Spitz Family Partnership L.P.
Claimant Lawyers(s): Christopher A. Bacotti
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Richard C. Szuch
Arbitrator(s): Joan M. Traub, Joshua Mark Zucker, Ronald J. Colombo
Hearing Site: New York, NY
| | $0 |
| 09-05503 | 05/24/2011 | Claimant(s): Boushy North Investments Ltd.
Claimant Lawyers(s): Paul I. Aronowitz
Respondent(s): Penson Financial Services, Second Mile Wealth Management.
Respondent Lawyers(s): Matthew G. Nielsen, Will S. Montgomery
Arbitrator(s): Bernard D. Hammer, Kurt D. Steiner, Michael S. Yauch
Hearing Site: Houston, TX
| | $500,000 |
| 10-01606 | 05/24/2011 | Claimant(s): Robert Ragsdale, Robert M. Ragsdale IRA
Claimant Lawyers(s): Reagan D. Pratt
Respondent(s): Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherry R. Wetsch, Charles A. Bankston, Eric R. Benton
Hearing Site: Houston, TX
| | $127,000 |
