| 10-00517 | 09/14/2010 | Claimant(s): Brian Siulinski
Claimant Lawyers(s): Brian W. Siulinski
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Donald K. Eckhardt
Hearing Site: Houston, TX
|  | $11,222 |
| 10-00790 | 09/14/2010 | Claimant(s): George M. Hunley, Jr. and Ada M. Hunley
Claimant Lawyers(s): George M. Hunley
Respondent(s): Stewart Fisher, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Leonard E. Benade
Hearing Site: Charlotte, NC
| | $425 |
| 10-00993 | 09/14/2010 | Claimant(s): Diane Loper
Claimant Lawyers(s): Diane N. Loper
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Milwaukee, WI
| | $0 |
| 09-02018 | 09/13/2010 | Claimant(s): Donna Appleby
Claimant Lawyers(s): Scott D. Hirsch
Respondent(s): Bruce Pomerantz, Wachovia Securities
Respondent Lawyers(s): Matthew E. Wolper, Robert A. W. Boraks
Arbitrator(s): Susan M. Dunning, Stuart Harvey Ziegler, Walter A. Bajak
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-05755 | 09/13/2010 | Claimant(s): Michael J. Sorensen and Angela Sorensen
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Teresa E. Adams
Arbitrator(s): Kenneth M. Jackson
Hearing Site: Memphis, TN
| | $0 |
| 10-01098 | 09/13/2010 | Claimant(s): Eugene Krzywicki, IRA
Claimant Lawyers(s): Eugene Krzywicki
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Donald W. McKenzie
Hearing Site: Chicago, IL
| | $213 |
| 10-00770 | 09/10/2010 | Claimant(s): John Schmidt
Claimant Lawyers(s): John J. Schmidt
Respondent(s): Kenneth Finkelson, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael P. Zwirko
Arbitrator(s): Paul E. Dahlman
Hearing Site: Las Vegas, NV
| | $9,213 |
| 09-01592 | 09/09/2010 | Claimant(s): Alf Co.. Retirement Trusts, Marietta Kneisly Trust, Craig Kneisly,
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Clinton J. Simpson
Arbitrator(s): Ronald L. Futterman, David H. White, Stephanie Jean Malevich
Hearing Site: Memphis, TN
| | $577,714 |
| 09-00415 | 09/07/2010 | Claimant(s): Laurel Blau Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Robert L. Agusto, James F. Carlson, David M. Fetter
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-04066 | 09/07/2010 | Claimant(s): The Estate of John F. Mann
Claimant Lawyers(s): Charles D. Koehler
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jerry D. Mc Cormack, Kevin J. Demet, Scott T. Silker
Hearing Site: Milwaukee, WI
| | $0 |
