| 09-06863 | 03/23/2011 | Claimant(s): Michael Musachio
Claimant Lawyers(s): Steven M Kaplan
Respondent(s): Geri Pell, Ameriprise Financial Services., Paul Santucci
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Paul A. Merolla, Brian J. Burstin, Richard Gee
Hearing Site: New York, NY
|  | $0 |
| 09-04549 | 03/22/2011 | Claimant(s): The Roger & Rosemary Enrico Foundation
Claimant Lawyers(s): James P. Graven
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Donald C. Hood, Richard C. Corse, Donna Ross Philip
Hearing Site: Dallas, TX
| | $207,994 |
| 10-03441 | 03/22/2011 | Claimant(s): Hugh Glass
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Robert E. Jenks
Hearing Site: Birmingham, AL
| | $4,213 |
| 09-02088 | 03/22/2011 | Claimant(s): Freedom Investors Corp.
Claimant Lawyers(s): Harry Delagrammatikas
Respondent(s): Sydney Pinter, Kahal Shomrei Hadath, non-profit Synagog
Respondent Lawyers(s): Sydner Pinter
Arbitrator(s): Marilyn J. Salzman, Martin Hunger, Ellyn S. Roth
Hearing Site: New York, NY
| | $0 |
| 07-00769 | 03/21/2011 | Claimant(s): Armande Desjarlais
Claimant Lawyers(s): Steven M. Green
Respondent(s): James Sheridan, R. Will, Randy Weaver
Respondent Lawyers(s): James A. Sheridan, R. Lance Will, Randy Weaver
Arbitrator(s): Fred T. Kallet, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | $54,833 |
| 09-03593 | 03/21/2011 | Claimant(s): Roman Bardens
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Steven Gerard Goerke
Hearing Site: Ft. Lauderdale, FL
| | $10,000 |
| 09-06621 | 03/21/2011 | Claimant(s): Calvin Samuels
Claimant Lawyers(s): Maria S. Wilson
Respondent(s): LPL Financial LLC, Harvey Berk
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Robert M. Goldstein
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 10-00351 | 03/21/2011 | Claimant(s): John Coker
Claimant Lawyers(s): Allen L. Williamson
Respondent(s): Itradedirect.com Corp
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): Thomas M. Campbell, Frances Johnson Wright, Russell H Hairston
Hearing Site: Dallas, TX
| | $446,376 |
| 10-02023 | 03/21/2011 | Claimant(s): Tatsuko Wein
Claimant Lawyers(s): Thomas L. Gourde
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Erik R. Siering, Gerald C. Tambe, Chuba B. Abaelu
Hearing Site: Los Angeles, CA
| | $60,024 |
| 09-02494 | 03/21/2011 | Claimant(s): Helen Cohen Living Trust, Trust A, Trust B
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): James Trujillo, Secu Brokerage Services
Respondent Lawyers(s): Michael L. Weisel, Scott L. Metzger
Arbitrator(s): James H. Bowersox, Sally G. Williams, Dennis Michael Kelleher
Hearing Site: San Diego, CA
| | $0 |
