| 09-02892 | 02/18/2011 | Claimant(s): Keith Cohn, Keith Cohn Rollover IRA Trust
Claimant Lawyers(s): Philip Borowsky
Respondent(s): AllianceBernstein L.P., Sanford C. Bernstein & Co., LC
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Alvin L. Fishman, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
|  | $553,333 |
| 09-05884 | 02/18/2011 | Claimant(s): Woodrow & Joyce Vermillion
Claimant Lawyers(s): Randall S. Strause
Respondent(s): Dean Donohue, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Allan Weiss
Hearing Site: Louisville, KY
| | Stipulated Award and Expungement |
| 09-04996 | 02/18/2011 | Claimant(s): Sidney Small
Claimant Lawyers(s): Seth Huberman
Respondent(s): RBC Capital Markets LLC, Timothy Disparte
Respondent Lawyers(s): Jessica J. Stomski, Kevin S. Besetzny
Arbitrator(s): Jeffrey W. Finke, Brian E. Slotky, Timothy M. Feeney
Hearing Site: Chicago, IL
| | $0 |
| 09-05842 | 02/17/2011 | Claimant(s): Bob Starnes, The Starnes Family Trust dated 6/25/96
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William H. Fleece, Nicholas G. Dukas, Andrea Bailey
Hearing Site: Tampa, FL
| | $131,000 |
| 10-00672 | 02/17/2011 | Claimant(s): Marta Toscano and Robert M. Toscano
Claimant Lawyers(s): Karen J Van Ingen
Respondent(s): Chase Investment Services Corp., Marshall Foster
Respondent Lawyers(s): Heather L. Freiburger
Arbitrator(s): Mary Ellen Burns
Hearing Site: New York, NY
| | $39,784 |
| 10-03000 | 02/17/2011 | Claimant(s): Edith Robertson, Glen Robertson, John Sorensen, Sheri Lewis-Sorensen, Susan Robertson
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Securities America.
Respondent Lawyers(s): Bryan M. Ward
Arbitrator(s): John J. Flynn, Thomas D. Reese, Mary H. Evans
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12504 |
| 09-05996 | 02/17/2011 | Claimant(s): Alvin L. Bridges Irrevocable Trust
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Thomas Swigert
Arbitrator(s): Tim V. Young, Terresa L. Beaman, Raymond M. Kirtley
Hearing Site: Indianapolis, IN
| | $0 |
| 10-03815 | 02/17/2011 | Claimant(s): Kimberly McCloud
Claimant Lawyers(s): Kimberly S. McCloud
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Melissa M. Muehlfeld
Arbitrator(s): Patrick J. Halter
Hearing Site: Albuquerque, NM
| | $425 |
| 10-03331 | 02/16/2011 | Claimant(s): John Yousef
Claimant Lawyers(s): John Yousef
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Alex H. Keller
Hearing Site: Cleveland, OH
| | $0 |
| 09-03872 | 02/15/2011 | Claimant(s): Magaly Thrasher, Sean R. Burns UTMA/CA, Jerold & Magaly Thrasher Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Bruce Hallenbeck, Morgan Stanley, Morgan Stanley & Co.
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Barbara M. Zak, Elizabeth A. Copley, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $105,000 |
