| 09-02966 | 10/13/2010 | Claimant(s): Karen Smaza, Paul Smaza
Claimant Lawyers(s): Jan E. Slotnick
Respondent(s): Fifth Third Bank, Fifth Third Securities.
Respondent Lawyers(s): Elisabeth M. Von Eltzen
Arbitrator(s): Edward M. Olson, Martin I. Reisig, JoAnn Marino
Hearing Site: Detroit, MI
|  | $0 |
| 09-04523 | 10/13/2010 | Claimant(s): Marcia Rasmussen, Richard Rasmussen
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Daniel FeltzL Financial Corporation
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): George A. Abbott, Douglas A. Spier, John R. Loss
Hearing Site: Omaha, NE
| | $0 |
| 09-05799 | 10/13/2010 | Claimant(s): Ilyse Klavir
Claimant Lawyers(s): David Harrison
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John E. Ohashi, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00039 | 10/12/2010 | Claimant(s): Evan T. Williams Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Homer Vining, Morgan Keegan & Company.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, James M. Stern
Hearing Site: St. Louis, MO
| | $375 |
| 09-04336 | 10/12/2010 | Claimant(s): Geraldine Bell
Claimant Lawyers(s): Geraldine L. Bell
Respondent(s): James Rudwall, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kenneth C. Mennemeier
Arbitrator(s): Alvin L. Fishman, Gary Timothy Haight, Dean J. Dietrich
Hearing Site: San Francisco, CA
| | $0 |
| 10-00026 | 10/12/2010 | Claimant(s): Paul Moore
Claimant Lawyers(s): Paul Moore
Respondent(s): Lincoln Financial Advisors Corporation
Respondent Lawyers(s): Eric A. Michaels
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 09-05253 | 10/11/2010 | Claimant(s): The Estate of Lawrence D. Burns
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid-Ohio Securities Corp
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Steven K. Lum, Gregory B. Wood, Dee Newell
Hearing Site: Las Vegas, NV
| | $280,684 |
| 09-02418 | 10/11/2010 | Claimant(s): Charles Patton
Claimant Lawyers(s): Robert E. Prussing
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Peter W. Howell
Arbitrator(s): Martin Olinick, Alan Stamm, Daniel Su
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04864 | 10/11/2010 | Claimant(s): Steve Miura
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Kimon Peter Daifotis
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Carlos Richard Mangum, Jonathan H. Krotinger, Hadden Wing Roth
Hearing Site: San Francisco, CA
| | $0 |
| 09-05044 | 10/08/2010 | Claimant(s): Alan Biren, John Tucker
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Kelly M. Lonergan, Patrick W. McKeon, John J. Kenny
Hearing Site: Boston, MA
| | $1,085,600 |
