| 08-00226 | 08/03/2010 | Claimant(s): Betty Risner, Marion Risner, Betty Margaret D Risner-Rollover IRA, Risner Family Trust U/A DTD 01/21/82
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): James Harris, Morgan Keegan & Company.
Respondent Lawyers(s): William G. Whitman
Arbitrator(s): James S. Carlson, Daniel David Kopman, Rosalind Anne Salzman
Hearing Site: Los Angeles, CA
|  | Expungement |
| 09-02697 | 08/03/2010 | Claimant(s): Amzak Capital Management, Gerald J. Kazma Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Donald R. McGahan, Myron E. Levenson, Joseph Benalt
Hearing Site: Boca Raton, FL
| | $1,817,300 |
| 09-03990 | 08/03/2010 | Claimant(s): Kajeet.
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Michael J. Henke, Christopher M. McMurray, Barrett W. Freedlander
Hearing Site: Baltimore, MD
| | $80,800,000 |
| 09-00921 | 08/03/2010 | Claimant(s): Frank Foglia
Claimant Lawyers(s): Frank Foglia
Respondent(s): Frank Vanore
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
| | $0 |
| 09-01142 | 08/03/2010 | Claimant(s): Denise Sullivan
Claimant Lawyers(s): Port Parker
Respondent(s): Matthew DiGiacomo, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Alexander L. Mazour, Harry B. Endsley, John Patrick Kelly
Hearing Site: San Francisco, CA
| | $0 |
| 09-03884 | 08/03/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): James Vihstadt
Respondent(s): Nancy Frain, William Frain
Respondent Lawyers(s): William F. Frain
Arbitrator(s): Chesley Oriel
Hearing Site: Boston, MA
| | $0 |
| 08-04499 | 08/02/2010 | Claimant(s): Ame Wauters, Camilla Rogers, Suzanne Rogers Special Needs Trust
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Arthur Quintero, Patrick Nelson, Peilee Liu, Robert Angle, White Pacific Securities.
Respondent Lawyers(s): Kevin L. Wheeler
Arbitrator(s): Paul J. Dubow, Mary Margaret Bush, Fred D. Butler
Hearing Site: San Francisco, CA
| | $1,092,510 |
| 09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot
Claimant Lawyers(s): Dawn Stith Evans
Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059)
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson
Hearing Site: Birmingham, AL
| | Stipulated Award and Expungement |
| 09-03911 | 08/02/2010 | Claimant(s): Linda Whitesell
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Bruce Biedar, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Jerome J. Brault, Lee H. Goodman, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-00329 | 07/30/2010 | Claimant(s): Rohan Russell
Claimant Lawyers(s): Rohan Russell
Respondent(s): Northgate Securities.
Respondent Lawyers(s): Kenneth C. Courville
Arbitrator(s): David Buch, Jeffrey Mark Schwartz, Peter A.P. Dunlop
Hearing Site: Buffalo, NY
| | $81,500 |
