| 07-01716 | 11/12/2010 | Claimant(s): Bill Allen, Chester Goff, Clyde Moseley, James Franovich, James Gully, Jimmie Gammage, Jimmy Schafer, John Rogers, Larry Hammonds, Raymon Beckham, Reed Bond, Richard Bosarge, Wilson Miller
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Wachovia Securities, Prudential Equity Group
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): George A. Sawyer, Mark A. Myers, Cynthia Lee Traina
Hearing Site: Jackson, MS
|  | $2,079,300 |
| 08-03023 | 11/12/2010 | Claimant(s): Edgar Clark, Edgar T. Clark Charles Schwab & Co Inc.
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Elizabeth A. Copley, David Nielsen, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00247 | 11/12/2010 | Claimant(s): Garland Horn
Claimant Lawyers(s): John J. Miller
Respondent(s): Dayspring Investment Group
Respondent Lawyers(s): Gary Haney
Arbitrator(s): Daniel A. Kile
Hearing Site: Oklahoma City, OK
| | $63,033 |
| 08-02874 | 11/12/2010 | Claimant(s): Matt Lichtenberg, Viveca Paulin, Will Ferrell, David Living Trust
Claimant Lawyers(s): H Thomas Fehn
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Paul J. Schumacher
Arbitrator(s): Linda L. Blackwell, Elizabeth A. Copley, David L. Maislen
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02030 | 11/12/2010 | Claimant(s): Sam and Martha Massey
Claimant Lawyers(s): H. Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Janet Stern Solomon, Domitilia M. dos Santos, Joseph D. Vu
Hearing Site: Memphis, TN
| | $0 |
| 09-01817 | 11/11/2010 | Claimant(s): Karl Cross
Claimant Lawyers(s): Christopher M. David
Respondent(s): E*Trade Securities LLC, Robert Russini
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): Herbert Branitsky, Robert J. Buchner, Les R. Campbell
Hearing Site: Ft. Lauderdale, FL
| | Expungement |
| 09-02259 | 11/11/2010 | Claimant(s): Stan Rosen, Eastlake Business Park Associates, H&A Investment Irrevocable Environment S, Kirkland Commerce Center Associates, Lesmir Inc. dba Rosen Properties and Ros, Lynnwood East Business Park Associates,, Marymoor Warehouse Associates, Mayers MGI Building Holding, North Creek Enterprises, RH Lynnwood Corporate Center Associates,, RH Sixth Avenue Plaza Associates, Rosen Bel Kirk Associates, Rosen De Jonge Properties, Stevens Health Center Associates, Woodinville Warehouse Associates, Michele Rosen, RH Tacoma Place, Everett Plaza Shopping Center, Evergreen Way Association
Claimant Lawyers(s): Aron K Liang
Respondent(s): Wedbush Securities Inc., Richard Graham
Respondent Lawyers(s): John W. Stenson
Arbitrator(s): Frederic E. Dorkin, Julie Eileen Gay, Charles Scott McClellan
Hearing Site: Seattle, WA
| | Auction Rate Securities related |
| 09-06332 | 11/11/2010 | Claimant(s): Glenn Corliss
Claimant Lawyers(s): Brian J. Sommer
Respondent(s): CCO Investment Services Corp.
Respondent Lawyers(s): Jayme L. Butcher
Arbitrator(s): Paul H. McKenna, Donald J. Gilbert, Cory Owen Daschbach
Hearing Site: Pittsburgh, PA
| | $56,865 |
| 09-06739 | 11/11/2010 | Claimant(s): Charles Boone
Claimant Lawyers(s): Charles Boone
Respondent(s): Harvey Cook, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Earle J. Schwarz
Hearing Site: Memphis, TN
| | $2,018 |
| 10-01990 | 11/11/2010 | Claimant(s): James E. Rice and Trudy C. Rice
Claimant Lawyers(s): James E Rice
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Thomas W. Steed
Hearing Site: Columbia, SC
| | $6,655 |
