| 10-00033 | 12/14/2010 | Claimant(s): Robert Bryant
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Des Moines, IA
|  | $108,570 |
| 09-04484 | 12/14/2010 | Claimant(s): ASA Tax Advantage Relative Value Fund
Claimant Lawyers(s): Geoffrey P. Jarpe
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Bruce J. Nerland, Douglas J. Nesbit, Peter N. Thompson
Hearing Site: Minneapolis, MN
| | $0 |
| 09-01338 | 12/13/2010 | Claimant(s): Karin Paridee-Beard, Ronald Beard, Beard Living Trust dtd 3/30/1999
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Richard J. Stall, David W. Dresnick, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $336,270 |
| 09-05081 | 12/13/2010 | Claimant(s): Dennis L Adams (DECD) IRA,, Mary Kay Adams IRA, Mary Kay Adams Living Trust
Claimant Lawyers(s): James R Anderson
Respondent(s): Oppenheimer & Co.., Susan Rose
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Roland L. Olzark, Garrick A. Rollert, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 10-01366 | 12/10/2010 | Claimant(s): Ulrich Holeschovsky
Claimant Lawyers(s): Robert W. Goehring
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Thomas R. Skulina
Hearing Site: Pittsburgh, PA
| | $21,809 |
| 09-06454 | 12/10/2010 | Claimant(s): Grand Circle LLC
Claimant Lawyers(s): Thomas J. Butters
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Michael T. McCormack
Arbitrator(s): Nancy E. Watters, Evalyn Lipton Fishbein, Maxwell J. Mahoney
Hearing Site: Boston, MA
| | $0 |
| 10-02506 | 12/09/2010 | Claimant(s): Poppie Phillips, Roth IRA
Claimant Lawyers(s): Michael Clutter
Respondent(s): Chase Investment Services Corp., Joseph Liddell
Respondent Lawyers(s): Edward J. McNamara
Arbitrator(s): Robert N. Leitch
Hearing Site: Atlanta, GA
| | $14,171 |
| 10-02289 | 12/09/2010 | Claimant(s): Deborah Moller
Claimant Lawyers(s): Deborah A Moller
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Neil P. Murphy
Arbitrator(s): Lewis J. Levey
Hearing Site: Miami, FL
| | $0 |
| 10-02889 | 12/09/2010 | Claimant(s): Juliet Baruch
Claimant Lawyers(s): Anne Ho
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth E. Moum
Arbitrator(s): Lise Gabrielle Hunter
Hearing Site: New York, NY
| | $0 |
| 08-02047 | 12/08/2010 | Claimant(s): Richard Ng, Hasong J. and Jin Yung Pak
Claimant Lawyers(s): Justine Fischer
Respondent(s): Jung Kim aka Jay Kim, GlobalVest Group. n/k/a GLB Trading, Vision Securities Inc.
Respondent Lawyers(s): Ivan Luburic, Jung Han Kim, Lori S. Varaich
Arbitrator(s): Gregory L. Abbott, William J. Chambers, Larry T. Coady
Hearing Site: Portland, OR
| | $565,092 |
