| 09-05668 | 11/10/2010 | Claimant(s): Jane C. Love IRAA
Claimant Lawyers(s): Meghan McAllister
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Beau Cox
Arbitrator(s): Michael L. Weissman, Sondra Sellars, Martin A. Duncan
Hearing Site: Chicago, IL
|  | $1 |
| 09-04492 | 11/09/2010 | Claimant(s): Rita Klafter, Rita E. Klafter Individual Retirement A/, Stephen H. Klafter IRA
Claimant Lawyers(s): Steven B. Caruso
Respondent(s): Sanford C. Bernstein & Co,
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Jay F. Donnaruma, Elizabeth K. Norsworthy, John J. Henry
Hearing Site: Albany, NY
| | $0 |
| 09-04459 | 11/09/2010 | Claimant(s): Lisa Craig, Mathew Craig
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jamie L. Berger
Arbitrator(s): Lynne T. Albert, David P. McDuffee, Theresa Joan Rosenberg
Hearing Site: Raleigh, NC
| | $0 |
| 09-04633 | 11/09/2010 | Claimant(s): Gregg Rosenberg
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Catherine C. Garas
Arbitrator(s): Marvin Elster, Paul A. Fischer, Jane A. Smith
Hearing Site: Washington, DC
| | $150 |
| 10-00125 | 11/09/2010 | Claimant(s): Anna Kazar
Claimant Lawyers(s): Elizabeth Hendricks
Respondent(s): Citigroup Global Markets., John Hochstrasser
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Fred S. Pieroni, Daniel J. McCarthy, Steven A. Infante
Hearing Site: New York, NY
| | $0 |
| 10-00245 | 11/09/2010 | Claimant(s): James Quigg
Claimant Lawyers(s): James Quigg
Respondent(s): Fifth Third Securities., M. Games, Ryan Anderson
Respondent Lawyers(s): Elisabeth M. Von Eitzen, Ryan Anderson
Arbitrator(s): James Patrick Graven
Hearing Site: Detroit, MI
| | $142 |
| 10-01284 | 11/09/2010 | Claimant(s): Harold Y. Fain TTee of Harold Y. Fain
Claimant Lawyers(s): Harold Y. Fain
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 10-01287 | 11/09/2010 | Claimant(s): Wesley Olson
Claimant Lawyers(s): Jeffrey S. Salisbury
Respondent(s): Joe Lee, Scottrade Inc.
Respondent Lawyers(s): Alexander T. Moore, Niels P. Murphy
Arbitrator(s): Justine Fischer
Hearing Site: Portland, OR
| | $213 |
| 10-01719 | 11/09/2010 | Claimant(s): Eric Schiff
Claimant Lawyers(s): Eric Howard Schiff
Respondent(s): Anthony Sarracino, Anthony Viviano, Randle Copeland, Rodger Riney, Scottrade Inc.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Jim Geiger
Hearing Site: Philadelphia, PA
| | $163 |
| 09-00941 | 11/08/2010 | Claimant(s): Douglas Hemke
Claimant Lawyers(s): John J. Miller
Respondent(s): Northland Securities.
Respondent Lawyers(s): Jeffrey D. Hanslick
Arbitrator(s): Mark S. Foster, Bruce Keplinger, Michael Braude
Hearing Site: Kansas City, MO
| | $180,000 |
