| 09-05643 | 07/15/2010 | Claimant(s): Marilyn Hazell
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): David Dube
Respondent Lawyers(s): David William Dube
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Orlando, FL
|  | $400,000 |
| 09-05979 | 07/15/2010 | Claimant(s): Martin Reisner
Claimant Lawyers(s): Charles D. Heidgerd
Respondent(s): David Maggio, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Paul W. Sterman, Syma S. Kasdin, Mark I. Scheinbaum
Hearing Site: Boca Raton, FL
| | $38,500 |
| 09-03611 | 07/15/2010 | Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Kenneth Kauth, Wells Fargo Advisors
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit
Hearing Site: Minneapolis, MN
| | $0 |
| 09-06928 | 07/15/2010 | Claimant(s): Debra Alavi DDS MS Defined Benefit Plan,
Claimant Lawyers(s): Debra G Alavi
Respondent(s): Douglas Mavrovic
Respondent Lawyers(s): Nicole C. Johnson
Arbitrator(s): Michael S. Matek
Hearing Site: Chicago, IL
| | $0 |
| 10-00070 | 07/15/2010 | Claimant(s): Alvin M. Coppersmith, IRA Account, Alvin M. and Linda Coppersmith Per/Acct, Alvin M. Coppersmith Keogh Account
Claimant Lawyers(s): Alvin M. Coppersmith
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Sterling N. Frost
Hearing Site: San Francisco, CA
| | $0 |
| 09-06140 | 07/14/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Janice Koch
Respondent Lawyers(s): Janice C. Koch
Arbitrator(s): Robert Charkovsky
Hearing Site: Baltimore, MD
| | $0 |
| 07-03620 | 07/14/2010 | Claimant(s): Ann Niebauer
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein
Respondent Lawyers(s): David M. Foster
Arbitrator(s): Stuart M. Egrin, William P. Thorpe, Veronique M. Liem
Hearing Site: Detroit, MI
| | $101,679 |
| 09-04361 | 07/14/2010 | Claimant(s): Arthur Ruiz Jr. and Patty Ruiz
Claimant Lawyers(s): Arthur Ruiz
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Melissa Hegger Shea
Arbitrator(s): Leonard E. Benade
Hearing Site: New Orleans, LA
| | $150 |
| 09-02459 | 07/13/2010 | Claimant(s): Thomas Maher
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Pacific West Securities.
Respondent Lawyers(s): Chance A.E. Hodges
Arbitrator(s): George R. Milne, Paul R. Meyer, Bert P. Krages
Hearing Site: Portland, OR
| | $593,336 |
| 07-02883 | 07/12/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Keybanc Capital Markets Inc., John Hartman
Respondent Lawyers(s): John Hartman, Wm. Joseph Baker
Arbitrator(s): Ellen Holland Keller, I. Bernard Trombetta, Marianne L. Simpson
Hearing Site: Cleveland, OH
| | Settlement |
