| 09-05542 | 03/08/2011 | Claimant(s): Arthur Cargill, Maryann Cargill, Cargill-Beacon Point, Cargill-Mansell Plaza
Claimant Lawyers(s): Kalju Nekvasil
Respondent(s): James Files
Respondent Lawyers(s): Victoria H. Buter
Arbitrator(s): Donald S. Duerson, Paul F. Faberman, Clifford A. Threlkeld
Hearing Site: San Francisco, CA
|  | $87,432 |
| 09-06914 | 03/08/2011 | Claimant(s): Edwin Christensen
Claimant Lawyers(s): Richard D. De Vita
Respondent(s): Rocco Mongelli
Respondent Lawyers(s): Robert Bertsch
Arbitrator(s): John Richard Lynch
Hearing Site: Albany, NY
| | Stipulated Award |
| 10-03355 | 03/08/2011 | Claimant(s): Jeffrey Olson
Claimant Lawyers(s): Jeffrey Robert Olson
Respondent(s): Ralph Gannett, Cullum & Burks Securities.
Respondent Lawyers(s): Ralph Thomas Gannett, Steven L. Burks
Arbitrator(s): William B. Ross
Hearing Site: Milwaukee, WI
| | $20,425 |
| 09-02593 | 03/08/2011 | Claimant(s): The Estate of Lawanda Padgett
Claimant Lawyers(s): Kurtis J. Ward
Respondent(s): Capital West Securities.
Respondent Lawyers(s): Joe M. Hampton
Arbitrator(s): Bill H. Brister
Hearing Site: Oklahoma City, OK
| | $0 |
| 10-00962 | 03/08/2011 | Claimant(s): Mary Hess, Mary Abbott Hess as TTEE and Beneficiary
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Kathryn Kennedy
Respondent Lawyers(s): Patrick G. King
Arbitrator(s): Ray J. Grzebielski, Theresa A Gillerlain, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | $0 |
| 09-06559 | 03/07/2011 | Claimant(s): Allyn Husman, JoAnn Husman
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Ralph Schneider, Ronald Kerher, Okoboji Financial Services.
Respondent Lawyers(s): President of the Company, Ralph R. Schneider, William D. Nelson
Arbitrator(s): Kevin D. Hofman, Susan M. Sanger, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $299,400 |
| 09-07231 | 03/07/2011 | Claimant(s): Sonie Kim
Claimant Lawyers(s): Leonard Steiner
Respondent(s): William Park, United Equity Securities
Respondent Lawyers(s): William Brown Park
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | $135,225 |
| 10-02524 | 03/07/2011 | Claimant(s): Leonard Massello
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert Harris
Arbitrator(s): Edward R. Niederriter, Judith Kelner Chu, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $259,400 |
| 10-03357 | 03/07/2011 | Claimant(s): Saul Witenoff, The Saul Witenoff Revocable Trust
Claimant Lawyers(s): Stephen L Witenoff
Respondent(s): Wells Fargo Advisors, Sherwyn Labovitz
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $23,893 |
| 10-00344 | 03/07/2011 | Claimant(s): Curt Lehner
Claimant Lawyers(s): Charles J. Hecht
Respondent(s): Brian Peterson, Clark Johnston, Jeffrey Peterson, Jonathan Peterson, Robert Tew, Todd Groskreutz, Alpine Securities Corporation
Respondent Lawyers(s): Steven G. Loosle
Arbitrator(s): Peter G. Walker, Laurie E. Law, William J. Bender
Hearing Site: Seattle, WA
| | $0 |
