| 09-06754 | 11/19/2010 | Claimant(s): James Populorum
Claimant Lawyers(s): James Richard Populorum
Respondent(s): Janice Hallett, The Tidal Group
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): David P. McDuffee, Charles Sydnor Thompson, Lester Neal Ellis
Hearing Site: Raleigh, NC
|  | $0 |
| 10-01807 | 11/19/2010 | Claimant(s): Bruce B. Raynor
Claimant Lawyers(s): Bruce B. Raynor
Respondent(s): Samuel Starling
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $213 |
| 08-03886 | 11/18/2010 | Claimant(s): Melinda Johnson, Mitchell Johnson
Claimant Lawyers(s): Terrance J. Slominski
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Michael D. Weiner, Nina Vallion, Bert P. Krages
Hearing Site: Portland, OR
| | $22,397 |
| 09-02059 | 11/18/2010 | Claimant(s): William Quiros
Claimant Lawyers(s): David Gurnick
Respondent(s): Kevin Caputo, Merrill Lynch Pierce Fenner & Smith Inc., Steven Port
Respondent Lawyers(s): Christine A. Page, Susan L. Hoffman
Arbitrator(s): Barbara Faye Vosen, David W. Casey, Walter R. Whitman
Hearing Site: Los Angeles, CA
| | $500,000 |
| 09-02623 | 11/18/2010 | Claimant(s): Kevin Holloway, Shyamala Holloway
Claimant Lawyers(s): Kevin Holloway
Respondent(s): Kenneth Thom, Kevin Burr
Respondent Lawyers(s): Kenneth Thom, Kevin Richard Burr
Arbitrator(s): James J. Fishman, Kinchen C. Bizzell, Paul Weinberg
Hearing Site: New York, NY
| | $38,902 |
| 09-05070 | 11/18/2010 | Claimant(s): Joanne Bohnke
Claimant Lawyers(s): David Valicenti
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert S. McConnell, Thomas A. Peterson, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | $136,112 |
| 07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk
Claimant Lawyers(s): John J. Allan
Respondent(s): Kelly Waller, A.G. Edwards & Sons.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
| 09-06394 | 11/18/2010 | Claimant(s): David Earl, Estate of Sophie H. Bebb
Claimant Lawyers(s): James S. Helfrich
Respondent(s): Morgan Stanley & Co., Nancy Mercado
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Bruce Brown, Daniel E. Wright, Hazel E. Hanley
Hearing Site: Denver, CO
| | $300 |
| 08-03534 | 11/17/2010 | Claimant(s): Raymond Heck
Claimant Lawyers(s): Raymond E. Heck
Respondent(s): Kirk Kepper
Respondent Lawyers(s): Keith Friley
Arbitrator(s): Dale A. Kaliszeski, G. Phillip Shuler, Allen J. Krouse
Hearing Site: New Orleans, LA
| | Settlement |
| 09-02365 | 11/17/2010 | Claimant(s): Thomas J. Hillman Family Trust
Claimant Lawyers(s): Mark E. Goodman
Respondent(s): Bernard King, UBS Financial Services Inc.
Respondent Lawyers(s): Christopher T. O'Connor
Arbitrator(s): Gerald Cohen, Thomas J. Ray, Jennifer McGillivary
Hearing Site: St. Louis, MO
| | $100,000 |
