| 09-05147 | 03/01/2011 | Claimant(s): MAXXAM Inc.
Claimant Lawyers(s): Jacks C. Nickens
Respondent(s): Kevin Laurie, Timothy Ford
Respondent Lawyers(s): Philip E. Cook
Arbitrator(s): Dolores M Martin, R. Lee Britton Jr., Joel H. Pullen
Hearing Site: Houston, TX
|  | $0 |
| 09-05795 | 03/01/2011 | Claimant(s): Robert Axel, Wilburn McClure
Claimant Lawyers(s): Robert A. Axel, Willburn F. McClure
Respondent(s): Matthew Lowe, Raymond, James & Associates., Michael Magruder
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Thomas E. Shuck, Suzanne Viau Chamberlain, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $0 |
| 09-07075 | 03/01/2011 | Claimant(s): Roger Elswick
Claimant Lawyers(s): Travis C. Crowder
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Alisa Ruth
Hearing Site: Houston, TX
| | $0 |
| 09-07147 | 03/01/2011 | Claimant(s): Martin Hauptman
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Jeffrey Alexander, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Robert L. Salzberg, Robert M. Goldstein, Nicholas Brunero
Hearing Site: New York, NY
| | $0 |
| 10-02474 | 03/01/2011 | Claimant(s): Raifman Family Rev Intel Trust
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, George Gordon
Respondent Lawyers(s): David A. Picon, Ronald E. Wood
Arbitrator(s): Mary Curran, Frank R Weaver, Nancy Hutt
Hearing Site: San Francisco, CA
| | $0 |
| 08-03399 | 02/28/2011 | Claimant(s): Sandra Johnson
Claimant Lawyers(s): Sarah G. Anderson
Respondent(s): Andrew Sycoff, David Scaffe, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky, David Scaffe
Arbitrator(s): Donald G. Kennedy, Chase Boone Saunders, Robert M. Seward
Hearing Site: Columbia, SC
| | Stipulated Award and Expungement |
| 08-04394 | 02/28/2011 | Claimant(s): Marvin Levin and Stefani Levin
Claimant Lawyers(s): Deborah R. Gross
Respondent(s): David Kay, Ralph Wileczek
Respondent Lawyers(s): Paula D. Shaffner, Ralph Wileczek
Arbitrator(s): Edward Blumstein, Robert W. Ratti, Kathleen L. Daerr-Bannon
Hearing Site: Philadelphia, PA
| | $0 |
| 09-02727 | 02/28/2011 | Claimant(s): Ronald Woolworth
Claimant Lawyers(s): Randy J. Aliment
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Robert M. Stein, Clarence F. Roed, Sally Phillips Pasette
Hearing Site: Seattle, WA
| | $0 |
| 10-03648 | 02/28/2011 | Claimant(s): Deanna M. Maher, Trustee of Deanna M. Ma
Claimant Lawyers(s): Deanna Mary Maher
Respondent(s): Daniel Hackett, Allstate Financial Services
Respondent Lawyers(s): Samantha Tesser Haimo
Arbitrator(s): Jeffry M. Bauer
Hearing Site: Detroit, MI
| | $255 |
| 08-03114 | 02/25/2011 | Claimant(s): Howard Coleman, Rhoda Coleman, The Coleman Family Trust U/T/A 1/18/1992
Claimant Lawyers(s): Philip M. Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Jeffrey E. Skogsbergh, Mary M. O'Neil, Thanayi J. Lindsey
Hearing Site: Los Angeles, CA
| | $230,667 |
