| 09-04057 | 10/21/2010 | Claimant(s): Lynette Cromwell
Claimant Lawyers(s): Lynette Cromwell
Respondent(s): Anthony Provenzano, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): Barbara A. Johannessen, Roland L. Olzark, Thomas W. Lawson
Hearing Site: Detroit, MI
|  | $10,000 |
| 09-00258 | 10/21/2010 | Claimant(s): Moeller Family Charitable Rem Uni Trust
Claimant Lawyers(s): Kenneth R. Shemin
Respondent(s): Arvest Investments.
Respondent Lawyers(s): Zach Chaffe-McClure
Arbitrator(s): James Stephen Jones, J. Maxwell Williams, Angelia J. Tolbert
Hearing Site: Little Rock, AR
| | $0 |
| 09-01854 | 10/21/2010 | Claimant(s): Abraham Assil
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, James R. Duncan, Richard J. Stall
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02693 | 10/20/2010 | Claimant(s): Steven Weisberg, IRA FBO Steven L. Weisberg SunAmerica Tr, Steven L. Weisberg Rev. Trust
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Royal Alliance Associates., John Schwartz, Retirement Advisory Services.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Paul W. Sterman, Michael J. Quarequio, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $80,000 |
| 09-06085 | 10/20/2010 | Claimant(s): Dushaune Evans
Claimant Lawyers(s): Brian C. Parker
Respondent(s): Frederick Judkins, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Janet Stern Solomon
Hearing Site: Washington, DC
| | $60,000 |
| 10-03099 | 10/20/2010 | Claimant(s): Helen Grant and Eugene Grant
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Greg Schaefer, Dillon Scott Securities.
Respondent Lawyers(s): Greg Scott Schaefer, Jack Lubitz
Arbitrator(s): Howard Weitz
Hearing Site: New York, NY
| | $167,358 |
| 09-04699 | 10/20/2010 | Claimant(s): Jill Trade, Paigow II
Claimant Lawyers(s): Brian Kennedy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Laurie E. Law, Jay Lawrence Witkin, Gregory B. Wood
Hearing Site: Las Vegas, NV
| | $0 |
| 09-04496 | 10/19/2010 | Claimant(s): Maurice Kelly
Claimant Lawyers(s): W. Alexander Melbardis
Respondent(s): Rockwell Global Capital LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Michael J. McAllister, Robert Youdelman, George E. Kroon
Hearing Site: New York, NY
| | $100,000 |
| 09-05931 | 10/19/2010 | Claimant(s): Isabelle Chang
Claimant Lawyers(s): Stephen Z. Frank
Respondent(s): Troy McElreath, Advisory Group Equity Services Ltd.
Respondent Lawyers(s): Allen N. David
Arbitrator(s): David Ellis, Howard I. Wilgoren, Debra M. Brown
Hearing Site: Boston, MA
| | $121,030 |
| 09-05255 | 10/18/2010 | Claimant(s): Raymond Cole
Claimant Lawyers(s): William J. Gladden
Respondent(s): Douglas Cochran, Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): Leon G. Mackey, Patricia G. Parthe, Richard D. Fincher
Hearing Site: Phoenix, AZ
| | $270,600 |
