| 10-02885 | 03/10/2011 | Claimant(s): Fidelity Brokerage Services LLC
Claimant Lawyers(s): Laurence K. Richmond
Respondent(s): Philip Beninati
Respondent Lawyers(s): Philip Beninati
Arbitrator(s): Thomas J. Donoghue
Hearing Site: Boston, MA
|  | $0 |
| 09-00830 | 03/10/2011 | Claimant(s): Dolores A. Smith Insurance & Associates
Claimant Lawyers(s): Brent A. Lorentz
Respondent(s): Kenneth Marchiol, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson, Jeffrey B. Kelvin
Arbitrator(s): Douglas J. Nesbit, Arlen G. Restad, Susan M. Barnes
Hearing Site: Minneapolis, MN
| | $0 |
| 09-04338 | 03/10/2011 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Charles M. Dalziel
Respondent(s): Diana Swan
Respondent Lawyers(s): Thomas R. Mason
Arbitrator(s): Stephen Z. Frank, B. J. Krintzman, John H. Foster
Hearing Site: Boston, MA
| | $0 |
| 09-07170 | 03/10/2011 | Claimant(s): David McIntosh, Terri McIntosh
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Joseph F. Keenan
Arbitrator(s): Jerry Schuchman, E. William Pastor, Glenn J. Hansen
Hearing Site: Philadelphia, PA
| | $0 |
| 09-04880 | 03/09/2011 | Claimant(s): Craig & Kathleen Juntunen Living Trust
Claimant Lawyers(s): Alan Gilmore
Respondent(s): Jeffry Korte, Merrill Lynch Pierce Fenner & Smith Inc., Richard Wilson
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Joe S. Tarrer, Cynthia B. Stone, Amy L. Wachs
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-06655 | 03/09/2011 | Claimant(s): Adela Collado, Charles Colvin, Daniel Sears, Dawn Schuessler, Don Jones, Elizabeth Stein, Jimmy Burke, Jose Collado, Judy Strickland, Kenneth Sears, Nancy Gordon, Peggy Burke, Reine Sears, Richard Arispe, Shana Stein, Susan Hackney, Suzann Jones, Todd Burke, William Rhodes, C & C Erection Inc.
Claimant Lawyers(s): Paul J. Dobrowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen C. Carlin
Arbitrator(s): Thomas A. Martin, Raymond C. Kerr, Maurice J. Fallas
Hearing Site: Houston, TX
| | $0 |
| 08-02913 | 03/08/2011 | Claimant(s): Grupo Internacional De Asesores, S.A.
Claimant Lawyers(s): Michael Zweiback
Respondent(s): Eduardo Bustani, Jane Bates, Ricardo Perusquia, Global Financial Services, L.L.P.
Respondent Lawyers(s): Alex J. Brown, Andrew R. Harvin
Arbitrator(s): John Michael Watson, Danielle L. Hargrove
Hearing Site: Houston, TX
| | Stipulated Award |
| 09-04037 | 03/08/2011 | Claimant(s): Louis Bortolussi, Luanne Schafer, Nina Bortolussi
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Ameriprise Financial Services., William Bynum
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Robert J. Scafuri, Joseph R. Papo, Michael James Malone
Hearing Site: Detroit, MI
| | $30,000 |
| 09-04093 | 03/08/2011 | Claimant(s): Emmett Carter
Claimant Lawyers(s): W. Andrew Clayton
Respondent(s): James Holdman, Penson Financial Services.
Respondent Lawyers(s): MacAllynn J. Achee, Mark G. Hanchet
Arbitrator(s): Daniel Eugene Bivins, Frederick S. Duncan, Frank A. Little, Jr.
Hearing Site: New Orleans, LA
| | $869,170 |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
