| 10-00761 | 11/01/2010 | Claimant(s): Keith Brodkorb
Claimant Lawyers(s): Meghan W. Cassidy
Respondent(s): Joseph Kelly, Prudential Securities
Respondent Lawyers(s): Brian Witus
Arbitrator(s): Robert J. Scafuri, James L. Karpen, Ann W. Hartmann
Hearing Site: Detroit, MI
|  | $0 |
| 10-00948 | 11/01/2010 | Claimant(s): Jean Cleveland
Claimant Lawyers(s): Franklin Jason Seibert
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): William B. Kirby
Hearing Site: Portland, OR
| | $0 |
| 09-06478 | 10/29/2010 | Claimant(s): Gilbert Rosenthal, Gilbert Rosenthal & Lora A. Rosenthal
Claimant Lawyers(s): Gilbert Rosenthal
Respondent(s): Eric Beachley, E*Trade Securities LLC, Peter Wight
Respondent Lawyers(s): John Bersin
Arbitrator(s): Edward M. Statland
Hearing Site: Washington, DC
| | $4,063 |
| 09-00846 | 10/29/2010 | Claimant(s): Ratree Luesiri, William Morehead
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Wachovia Securities, Donald Elster, John Caram, Marco Lloyd
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Selenne Calhamer, Michael S. Wilk, Mary Esther Escobedo
Hearing Site: Houston, TX
| | $0 |
| 09-05114 | 10/29/2010 | Claimant(s): Jeane Hahn, William Hahn
Claimant Lawyers(s): David Neuman
Respondent(s): David Coles, Valmark Securities.
Respondent Lawyers(s): Deborah Klar
Arbitrator(s): Andrew M. Mintzer, Harris J. Howard, Anna Marie Turco
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01661 | 10/28/2010 | Claimant(s): Marrell Greutman, Terry Greutman, Marrell R. and Wallis T. Greutman Trust
Claimant Lawyers(s): Kirk Daniel Mensonides
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Thomas R. Dreiling
Hearing Site: Seattle, WA
| | $213 |
| 08-03380 | 10/28/2010 | Claimant(s): James Beach, Marilyn Beach
Claimant Lawyers(s): Jack J. Mazzara
Respondent(s): Mark Harper, Richard Coskey, Bentley-lawrence Securities.
Respondent Lawyers(s): Dennis J. Levasseur, Mark F. Harper, Marvin I. Horowitz
Arbitrator(s): Diane Catherine Tietmeyer, A. Robert Stevenson, Phillip I. Levin
Hearing Site: Detroit, MI
| | $180,000 |
| 09-03797 | 10/28/2010 | Claimant(s): Hermon Smith, Rosemary Smith
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): Genworth Financial Securities Corporatio
Respondent Lawyers(s): Melanie Black Dubis
Arbitrator(s): Leon Henderson, Thomas W. Allen, John Edward Mango
Hearing Site: Raleigh, NC
| | $179,132 |
| 09-04501 | 10/28/2010 | Claimant(s): Herschel Zarecor, Herschel Zarecor III IRA, Mona Zarecor, Herschel and Mona Zarecor
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Diana A. Weiner, Louis M. Skydell, Richard A. Van Kalker
Hearing Site: Little Rock, AR
| | $541,000 |
| 09-06801 | 10/28/2010 | Claimant(s): Charles LaBay, Patricia LaBay
Claimant Lawyers(s): Elliott L. Epstein
Respondent(s): Paul Ligor
Respondent Lawyers(s): Richard L. Barrett
Arbitrator(s): Richard J. Grahn, Thomas J. Donoghue, Michael Dell'Olio
Hearing Site: Augusta, ME
| | $1,000,000 |
