| 09-01514 | 11/03/2010 | Claimant(s): RAM Investors LP Jefferies, RLM Family Trust Jefferies, Ron & Lucille Matricaria Family Trust
Claimant Lawyers(s): David E. Robbins
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Brett D. Jaffe
Arbitrator(s): Charles R. Berry, Stephanie P. Lebhar, Sheila Grinell
Hearing Site: Phoenix, AZ
|  | $0 |
| 09-05154 | 11/03/2010 | Claimant(s): 414 LLC, 515 LLC
Claimant Lawyers(s): Michael M Steinmetz
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): Denzil J. Klippel, W. Jeffrey Weinlandt, Robert E. Anderson
Hearing Site: New York, NY
| | $0 |
| 10-02545 | 11/03/2010 | Claimant(s): Michael L. Landreth
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Avital Stadler
Arbitrator(s): Ellen J. Abrams
Hearing Site: Nashville, TN
| | $213 |
| 09-02175 | 11/02/2010 | Claimant(s): Paula Eisenstein
Claimant Lawyers(s): John P. Connolly
Respondent(s): Eric Meyers, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Anne Q. Uno, Stanley A. Cook, Douglas Earl McLaren
Hearing Site: Washington, DC
| | $269,283 |
| 09-05576 | 11/02/2010 | Claimant(s): Shuck Limited Partnership, Shuck Family Trust dtd 5/24/05
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): James Losey, Royal Alliance Associates., Wealthcare Alliance.
Respondent Lawyers(s): G. Thomas Fleming, III
Arbitrator(s): Audrey H. Ruben, Joyce L. Hurley, Richard William DeWeese
Hearing Site: Los Angeles, CA
| | Expungement |
| 10-00514 | 11/02/2010 | Claimant(s): Molly Mendelsohn, Molly Mendelsohn Trust
Claimant Lawyers(s): Marc A. Wites
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Charles Hoffman, Stanley M. Goldberg, Alfred L. Simon
Hearing Site: Boca Raton, FL
| | Expungement |
| 10-01367 | 11/02/2010 | Claimant(s): John Campanelli, Venus Campanelli
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Ameriprise Financial Services., Joseph Della Monica
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Thomas F. Mahoney
Hearing Site: Chicago, IL
| | $5,213 |
| 09-03831 | 11/01/2010 | Claimant(s): Kathy Richardson
Claimant Lawyers(s): Jason C. Ridgell
Respondent(s): John Means, Matthew Wilson, Brookstreet Securities Corporation
Respondent Lawyers(s): H. Thomas Fehn, John Francis Means, Matthew Bryan Wilson
Arbitrator(s): Richard P. Regan, Vicky L. Orem, Joan M. Smith
Hearing Site: Baltimore, MD
| | $891,856 |
| 09-05064 | 11/01/2010 | Claimant(s): Diane Reynolds
Claimant Lawyers(s): Richard De Vita
Respondent(s): David Dube, Peak Securities Corporation
Respondent Lawyers(s): David W. Dube, David Dube
Arbitrator(s): Debra G. Speyer, Kathleen K. Murphy, Peter L. Marco
Hearing Site: Philadelphia, PA
| | $450,330 |
| 09-06653 | 11/01/2010 | Claimant(s): Georgiann Henritzy, Georgiann G. Henritzy Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Roland
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Stephen D. Arkwright, Barbara A. Johannessen, Jonathan Edward Maire
Hearing Site: Detroit, MI
| | $0 |
