| 09-00144 | 09/21/2010 | Claimant(s): CoStar Group.
Claimant Lawyers(s): Brian J. Fischer
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Emily Eiselman Hunter, T.S.L. Perlman, Walter Peterson
Hearing Site: Washington, DC
|  | $0 |
| 09-01333 | 09/20/2010 | Claimant(s): George Grant
Claimant Lawyers(s): George R. Grant
Respondent(s): Dave Samuels, Sagepoint Financial.
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | $39,000 |
| 09-05025 | 09/20/2010 | Claimant(s): Rita Brown
Claimant Lawyers(s): David H. Simmons
Respondent(s): Banc of America Investment Services Inc., Scott Krause
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $56,512 |
| 09-05650 | 09/20/2010 | Claimant(s): Martha Campbell, Martha C. Campbell Rollover IRA
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Kevin Williams, Asset Management Strategies, North Global Securities., North Wealth Management Company
Respondent Lawyers(s): A. Kipp Williams, Kevin A. Williams
Arbitrator(s): Lester G. Stiel, John Goodrich, Daniel A. Seiver
Hearing Site: San Diego, CA
| | $641,050 |
| 08-04827 | 09/20/2010 | Claimant(s): Laura Starnes, Michael Starnes, Michael Starnes Charitable Remainder TRT
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): William M. Lacy, Thomas Michael Genovese, Elliott Zachary Seff, Robert William Berliner, Dwight Wassong, Austin Martin O'Toole
Hearing Site: Memphis, TN
| | $0 |
| 10-01373 | 09/20/2010 | Claimant(s): Gary K. Maxwell (IRA)
Claimant Lawyers(s): Gary K. Maxwell
Respondent(s): Franklin Templeton Financial Services Co
Respondent Lawyers(s): David P. Goss
Arbitrator(s): M. W. Gear
Hearing Site: Wichita, KS
| | $57 |
| 09-03526 | 09/17/2010 | Claimant(s): Viola McNeill
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Aaron Francis, Fidelity Brokerage Services LLC, William Laws
Respondent Lawyers(s): Elizabeth A. Marino
Arbitrator(s): Donald J. Zoeller, John Cleaveland Palmer, Kenneth Paul Williams
Hearing Site: New York, NY
| | $92,124 |
| 09-01200 | 09/17/2010 | Claimant(s): Darin Bryant, Janie Bryant
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Morgan Stanley & Co., Robert Wyatt
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Maxel (Bud) B. Silverberg, Robert C. Denenberg, Edward J. Lynch
Hearing Site: Dallas, TX
| | $0 |
| 09-03649 | 09/17/2010 | Claimant(s): Summit Oak
Claimant Lawyers(s): Ralph R. Safford
Respondent(s): Kenneth Jones, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Barry Goldman, Jennifer Ann Shandler, Paul Sislin
Hearing Site: Detroit, MI
| | $0 |
| 09-03841 | 09/17/2010 | Claimant(s): Catharine Bloss, Donald Bloss
Claimant Lawyers(s): Thomas H. Lake
Respondent(s): Edwin Harris, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | $0 |
