| 09-02834 | 08/31/2010 | Claimant(s): Joyce Glynn
Claimant Lawyers(s): Joyce B. Glynn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
|  | $0 |
| 09-04900 | 08/30/2010 | Claimant(s): Alvin Kling, Pearl Kling, Alvin Kling Revocable Trust, Howard Gary Kling Irrevocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Andrew W. Robertson
Arbitrator(s): Michael J. Quarequio, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | $18,300 |
| 09-03951 | 08/27/2010 | Claimant(s): David Roberts
Claimant Lawyers(s): John Sale Gordon
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan
Arbitrator(s): James Clifton Stone, Jan M. West, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $22,999 |
| 09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company
Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis
Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs
Hearing Site: Denver, CO
| | $62,125 |
| 09-04990 | 08/27/2010 | Claimant(s): John Ramey, Madrugada LP # 2, Ramey Company Profit Sharing DTD 1/4/01
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): J Duckworth, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert A. Yates, Ronald O. Bub, James J. Dobbin
Hearing Site: San Diego, CA
| | Expungement |
| 09-01760 | 08/27/2010 | Claimant(s): Alvin Trenk
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Joseph B. Russell, Brian F Loveman, Stevan J. Bosses
Hearing Site: New York, NY
| | $0 |
| 10-01313 | 08/26/2010 | Claimant(s): Jordan M. and Linda S. Brickman
Claimant Lawyers(s): Jordan M. Brickman
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Sean R. Murphy
Arbitrator(s): Marc Kalish
Hearing Site: Phoenix, AZ
| | $5,625 |
| 09-04498 | 08/26/2010 | Claimant(s): James Knell, Patricia Knell, The James W. Knell Trust, The Pat Knell Trust
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Wilbert H. Luck, Jacalyn R. Murray, Stephan Paul Carrier
Hearing Site: Baltimore, MD
| | $0 |
| 08-03559 | 08/25/2010 | Claimant(s): Teresita Cintron
Claimant Lawyers(s): Homero Gonzalez-Lopez
Respondent(s): Jeffrey Lopez, Ruben Fernandez, Sonia Marbarak, BBVA Securities of PR.
Respondent Lawyers(s): Ramon Coto-Ojeda
Arbitrator(s): Mark I. Scheinbaum, Armando E. Ramirez Vivoni, Jorge R. Jimenez
Hearing Site: San Juan, PR
| | $271,895 |
| 08-02649 | 08/25/2010 | Claimant(s): Rosenow I Limited Partnership
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Jeffrey L. Friedman
Arbitrator(s): Elizabeth Gilbert, Michael Jaffe, Linda B. Meltzer
Hearing Site: New York, NY
| | $0 |
