| 09-04585 | 07/30/2010 | Claimant(s): Benjamin Mathis, Harold Mathis
Claimant Lawyers(s): Benjamin Mathis, Harold Mathis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Donald K. Eckhardt, Arno C. Schwethelm, William A. Wilson
Hearing Site: Houston, TX
|  | $25,000 |
| 09-05883 | 07/30/2010 | Claimant(s): Kevin Wagner, Martin Wagner, Sandra Wagner
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Maximum Financial Group.
Respondent Lawyers(s): The Company President
Arbitrator(s): Jeffry M. Bauer, Timothy J. Currier, Matthew Scott Brown
Hearing Site: Detroit, MI
| | $245,575 |
| 09-06873 | 07/30/2010 | Claimant(s): James Cunningham
Claimant Lawyers(s): James Cunningham
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): James D. Vannah
Arbitrator(s): William I. Carmen
Hearing Site: Boston, MA
| | $1,432 |
| 10-00742 | 07/30/2010 | Claimant(s): Larry Arrigoni
Claimant Lawyers(s): Amy J. Ihlan
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Mark Fautsch
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Minneapolis, MN
| | $28,583 |
| 09-02355 | 07/30/2010 | Claimant(s): Arnold Lucius, Lisa Lucius
Claimant Lawyers(s): Willliam B. L. Little
Respondent(s): Denise Buchanan, James Hirst, Richard Murray
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Alan L. Berger
Hearing Site: Raleigh, NC
| | $0 |
| 09-06821 | 07/30/2010 | Claimant(s): Alfonso Lama Barna, Pablo Sanchez, Alvaro I. Zuniga C., Carmen Luz Valdes Guilisasti, Christian Sturms, Cynthia N. Cordingley P. & James Hyland, Francesca Porzio, Gilda F. Copello M., Jorge Lecaros Valdes, Jorge Lecaros Vergara, Jorge Sturms, Luis Antonio Ahumada & Victor Ahumada, Marcelo Fuchs S. & Jaime Fuchs S., Maria de la Paz Errazuriz, Mariela A. Zuniga C., Mauricio A. Zuniga C., Orione Porzio, Renate Stein, Rocco F. Natalino T. & Solange Thenoux
Claimant Lawyers(s): Sam Schwartz
Respondent(s): John Dutkowski, Rodolfo Pages, Stanchart Securities Int'l Inc
Respondent Lawyers(s): Ricardo A. Gonzalez
Arbitrator(s): Bruce N. Sankin, Gloria O. North, Stephen Kahane
Hearing Site: Boca Raton, FL
| | $0 |
| 09-03079 | 07/29/2010 | Claimant(s): Joseph Patane
Claimant Lawyers(s): Thomas A. Gentile
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mauricio S. Beugelmans
Arbitrator(s): C. Anthony Bell, Louis H. Miron, Stephen L. Lister
Hearing Site: Newark, NJ
| | $0 |
| 09-06313 | 07/28/2010 | Claimant(s): James D. and Janet D. Cary
Claimant Lawyers(s): James D. Cary
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula McManus
Arbitrator(s): Malcolm T. Cleland
Hearing Site: Denver, CO
| | $7,890 |
| 09-02279 | 07/28/2010 | Claimant(s): Joseph Sproviero
Claimant Lawyers(s): David Liebrader
Respondent(s): Oppenheimer & Co.., Kevin Fay
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Daniel J. McCarthy, Piedad A. Bernikow, Gerald Joseph Coughlin
Hearing Site: Newark, NJ
| | $0 |
| 09-06746 | 07/28/2010 | Claimant(s): John Tennant
Claimant Lawyers(s): John J. Tennant
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Henry A. Stiles
Arbitrator(s): Nina Vallion
Hearing Site: Portland, OR
| | $566 |
