| 09-02882 | 04/08/2011 | Claimant(s): Angela Schwausch
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): UBS Financial Services Inc., Kenneth Logsdon, Michael Trahan
Respondent Lawyers(s): Alise Johnson Henry
Arbitrator(s): Kurt L. Smith, Frances Johnson Wright, James Douglas Haigh
Hearing Site: Dallas, TX
|  | $25,000 |
| 09-02906 | 04/08/2011 | Claimant(s): Jay Raubvogel, Seymour Raubvogel, M. Raubvogel Co. Inc. Trust
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): James D. McDonald, Randy R. Freedman, Steven G. Montesi
Hearing Site: Boca Raton, FL
| | $766,935 |
| 10-00521 | 04/08/2011 | Claimant(s): The City of Burlington, Vermont
Claimant Lawyers(s): Jerome Schlichter
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Ronald L. Cheney, B. J. Krintzman, Guy T. Mango
Hearing Site: Montpelier, VT
| | Expungement |
| 10-01895 | 04/08/2011 | Claimant(s): Arthur Warburton Revocable Living Trust
Claimant Lawyers(s): Andre R. Perron
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Gloria O. North, Patricia Morin, Paul Joseph McIntyre
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-06108 | 04/07/2011 | Claimant(s): Douglas J. Beach and Margaret A. Beach
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John P. Bevilacqua
Arbitrator(s): Roger L. Crossland, John Thomas Shaban, Houston Putnam Lowry
Hearing Site: Hartford, CT
| | Expungement |
| 09-06456 | 04/07/2011 | Claimant(s): Michael Skakun
Claimant Lawyers(s): Jenice L. Malecki
Respondent(s): Scott Nuttall, Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner, Scott E Nuttall
Arbitrator(s): J. Martin McDonough, Paul Weinberg, Kathleen Cawley
Hearing Site: New York, NY
| | Expungement |
| 09-06760 | 04/07/2011 | Claimant(s): Hathaway Family Holdings, LLP, David S.
Claimant Lawyers(s): John Flanders Kennedy
Respondent(s): Dearing Stone, Morgan Stanley
Respondent Lawyers(s): Hugo A. Hilgendorff, R Hal Meeks
Arbitrator(s): Robert N. Leitch, Susan S. Bentley, Gary J. Leshaw
Hearing Site: Atlanta, GA
| | Expungement |
| 10-02468 | 04/07/2011 | Claimant(s): Carmen Babin
Claimant Lawyers(s): Ralph Vallone
Respondent(s): UBS Financial Services Inc of PR
Respondent Lawyers(s): Ubaldo M. Fernandez-Barrera
Arbitrator(s): Elena G. Rodriguez, Todd M. Saunders, Rex D.K. Seymour
Hearing Site: San Juan, PR
| | $17,875 |
| 09-04284 | 04/07/2011 | Claimant(s): John Mills, Judith Mills
Claimant Lawyers(s): Dennis H. Walters
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Lawrence R. Cock
Arbitrator(s): Paul R. Meyer, Lawrence R. Mills, Parker Arthur Montgomery
Hearing Site: Seattle, WA
| | $0 |
| 10-00859 | 04/07/2011 | Claimant(s): Andrew Gay
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Bestvest Investments, Ltd.
Respondent Lawyers(s): Nicholas J. Guiliano
Arbitrator(s): Paul Ribner, Donald S. Bauman, John Herbert Grefe
Hearing Site: Philadelphia, PA
| | $0 |
