| 09-02108 | 10/07/2010 | Claimant(s): Lyn Ashlock
Claimant Lawyers(s): Michael C. Woodward
Respondent(s): Amy Cady, Arvest Asset Management
Respondent Lawyers(s): James R. Polan
Arbitrator(s): Ann Blaess Kimball
Hearing Site: Oklahoma City, OK
|  | Stipulated Award and Expungement |
| 09-02188 | 10/07/2010 | Claimant(s): John Patience, The John Patience Trust
Claimant Lawyers(s): James L. Kopecky, Kevin M. Flynn
Respondent(s): Jefferies & Company., Jefferies Investment Advisers
Respondent Lawyers(s): Matthew C. Applebaum
Arbitrator(s): John K. Notz, Henry G. Nothnagel, Samuel B. Garber
Hearing Site: Chicago, IL
| | $0 |
| 09-03251 | 10/06/2010 | Claimant(s): Larry Hagman, Larry Hagman IRA CGM IRA Custodian, Larry Hagman Rollover IRA CGM, Larry Hagman & Maj I. Hagman Rev Trust, The Hagman Insurance Trust UAD 03/21/06
Claimant Lawyers(s): Philip Aidikoff
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Michael W. Delaney, Kenneth E. Kreh, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $11,118,800 |
| 08-04144 | 10/06/2010 | Claimant(s): Ann Myers
Claimant Lawyers(s): Wayne E. Batcheler
Respondent(s): Alan Knisley, Wachovia Securities, Edward Mercier
Respondent Lawyers(s): Alan S. Rafterman, Angela A. Turiano
Arbitrator(s): Annette B. Meyers, Michelle Jacobowitz Gallagher, Judith C. Greene
Hearing Site: New York, NY
| | $0 |
| 09-00683 | 10/05/2010 | Claimant(s): Carolyn Howard, Charles Ryrie, Christy Dauphin, David Dauphin, Edgar Smith, Elizabeth Anthony, Henry Hamman, J. Harris, John Garrett, Nan Garrett, Vance Miller, William Goodwin, HSMCO., The Ryrie Foundation, Claire Hannah Howard Trust, Henry S. Miller 1989-1 Irrevocable Tr, Matthew John Anthony Trust, Steven Charles Anthony Trust
Claimant Lawyers(s): Paul J. Dobrowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen C. Carlin
Arbitrator(s): Gary D. Danna, Oren L. Connaway, Stacey L. Barnes
Hearing Site: Houston, TX
| | $9,185,340 |
| 09-05756 | 10/05/2010 | Claimant(s): Charlene Haddock
Claimant Lawyers(s): Jeffrey E. Taylor
Respondent(s): Wachovia Securities, Stacey Haddock, Prudential Securities.
Respondent Lawyers(s): Stacey Haddock, Stephanie Collett Sparks
Arbitrator(s): Robert Steven Haught
Hearing Site: Oklahoma City, OK
| | $160,680 |
| 08-03335 | 10/05/2010 | Claimant(s): Don Colcolough, Don Paul Colcolough and Anna Colcolough
Claimant Lawyers(s): Brian J. Neville
Respondent(s): John Colcolough, UBS Financial Services Inc., Stephens.
Respondent Lawyers(s): Kim Fowler, Patricia Christinasen
Arbitrator(s): Wendie L. Wachtel, Richard P. Regan, Jane C. Carney
Hearing Site: Washington, DC
| | $0 |
| 08-05638 | 10/05/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s):
Hearing Site:
| | $0 |
| 09-02899 | 10/05/2010 | Claimant(s): Gary Harris
Claimant Lawyers(s): Gary G. Harris
Respondent(s): Wachovia Securities, Jeremy Bishop
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Thomas C. Harris
Hearing Site: Columbia, SC
| | $0 |
| 09-05638 | 10/05/2010 | Claimant(s): Peter Baltis
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): George Danes, Morgan Stanley
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Orestes J. Mihaly, Jennifer L. Bliss, John J. Henry
Hearing Site: Albany, NY
| | $0 |
