| 08-02804 | 07/08/2010 | Claimant(s): Alabama Reinsurance Trust Fund
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Irving M. Shlesinger, Stanley W. Foy, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
|  | $0 |
| 09-01290 | 07/08/2010 | Claimant(s): Maury Bronstein, IRA
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Christopher Lazarini
Arbitrator(s): James A. Blalock, Mary E. Woytek, Dineo Coleman Gary
Hearing Site: Memphis, TN
| | $300 |
| 09-04377 | 07/08/2010 | Claimant(s): Henry Stern, Joyce Greer Stern
Claimant Lawyers(s): Richard M. Zaroff
Respondent(s): HSBC Securities (USA) Inc.
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Edward S. Bradley, Lise Gabrielle Hunter, Judith Fields Jurney
Hearing Site: New York, NY
| | $0 |
| 09-06561 | 07/08/2010 | Claimant(s): Steven Hara, Ruth Hara and James Hara Trusts
Claimant Lawyers(s): Steve Hara
Respondent(s): Jay Kelter, Jerome Kelter
Respondent Lawyers(s): Jason S. Haselkorn, Jerome Kelter
Arbitrator(s): John F. Allgood
Hearing Site: Atlanta, GA
| | $213 |
| 09-06125 | 07/07/2010 | Claimant(s): Ann Lorenz
Claimant Lawyers(s): Ann Marie (Staci) Lorenz
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel Derechin
Arbitrator(s): Phillip I. Finkelstein
Hearing Site: Minneapolis, MN
| | $213 |
| 09-04186 | 07/06/2010 | Claimant(s): Gordon Church, Kyle Church, The Trust U/W Margaret P. Barnett
Claimant Lawyers(s): Edward J. Dovin
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Perry Lee Taylor, Daniel E. Gulden, Brock Bingham Gordon
Hearing Site: Atlanta, GA
| | $0 |
| 09-01829 | 07/02/2010 | Claimant(s): Leo Steck, Mary Steck, The Leo A. Steck Trust, The Mary L. Steck EAL Trust,, The Mary L. Steck Rev Trust, The Mary L. Steck VFL Trust,, The Sally P. Limbert Trust
Claimant Lawyers(s): Sherri C. Strand
Respondent(s): James McClellan
Respondent Lawyers(s): James Steele McClellan
Arbitrator(s): Thomas J. Ray, Keith E. Mattern, William Stark Port
Hearing Site: St. Louis, MO
| | $382,550 |
| 09-04606 | 07/02/2010 | Claimant(s): Anne Carmichael, Rev. Trust of Donald Carmichael
Claimant Lawyers(s): Adam T. Rabin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Steven Gerard Goerke, Mark T. Burnam, Marc Scott Shapiro
Hearing Site: Boca Raton, FL
| | $90,000 |
| 09-00558 | 07/02/2010 | Claimant(s): Carl Noble, Sandra Noble
Claimant Lawyers(s): Laurence M. Landsman
Respondent(s): Theodore Williams, Howe Barnes Hoefer & Arnett.
Respondent Lawyers(s): David A. Genelly
Arbitrator(s): James D. Adducci, Louis M. Skydell, Susan L. Walker
Hearing Site: Chicago, IL
| | $0 |
| 09-01548 | 07/02/2010 | Claimant(s): John Weber, Stab Holdings
Claimant Lawyers(s): Peter S. Christiansen, Richard E. Tanasi
Respondent(s): Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Vernon Barnum, Linda Jane Jones, R. Peter Faris
Hearing Site: Las Vegas, NV
| | $0 |
