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 |