09-01933 | 07/02/2010 | Claimant(s): Andre Hawit Claimant Lawyers(s): Andre Hawit Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): A. J. Borrelli Arbitrator(s): Joan N. Mensinger, James N. D'Orso, Dean J. Dietrich Hearing Site: San Francisco, CA
| | $0 |
09-04239 | 07/02/2010 | Claimant(s): Morgan Keegan & Company. Claimant Lawyers(s): Charles M. Dalziel Respondent(s): Robert McLellan Respondent Lawyers(s): Michael A. Collora Arbitrator(s): June Y. Kilmarx, Tom L. Peterson, Amy Lampert Hearing Site: Boston, MA
| | $0 |
09-03324 | 07/01/2010 | Claimant(s): Hal-Eleven Associates Claimant Lawyers(s): Anthony V. Trogan Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Terrance A. Bostic Arbitrator(s): Barry Goldman, A. Robert Stevenson, Thomas W. Lawson Hearing Site: Detroit, MI
| | $90,000 |
09-05951 | 07/01/2010 | Claimant(s): Carol Davies Claimant Lawyers(s): Carol Davies Respondent(s): Scottrade Inc. Respondent Lawyers(s): Andrew C. Small Arbitrator(s): Stuart K. Furman Hearing Site: Orlando, FL
| | $375 |
09-02338 | 06/30/2010 | Claimant(s): Sally Frederick Claimant Lawyers(s): D. Elizabeth Wills Respondent(s): Donald Hartmann, Michael Abraham, Hallmark Consulting Group., JRL Capital Corporation Respondent Lawyers(s): Daniel D. White, Sylvia M. Scott Arbitrator(s): Thaddeus J. Tecza, Bruce Brown, Gregory P. Lembree Hearing Site: Denver, CO
| | $195,132 |
09-01477 | 06/29/2010 | Claimant(s): Intevac. Claimant Lawyers(s): Robert L. Schnell Respondent(s): Citigroup Global Markets., Citigroup Inc. Respondent Lawyers(s): Julie A. Kole Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Gail Killefer Hearing Site: San Francisco, CA
| | Auction Rate Securities related |
09-03616 | 06/29/2010 | Claimant(s): Louise S. Hodge Multiple Powers Trust Claimant Lawyers(s): Debra G. Speyer Respondent(s): John Hancock Distributors LLC Respondent Lawyers(s): Stephanie P. Karn Arbitrator(s): Edward T. Borer, John L. Braxton, Edward F. Koren Hearing Site: Philadelphia, PA
| | $579,795 |
09-04167 | 06/29/2010 | Claimant(s): Michael Tepper Revocable Trust Claimant Lawyers(s): P. David Newsome Respondent(s): Capital West Securities. Respondent Lawyers(s): Joe M. Hampton Arbitrator(s): Van R. Oliver Hearing Site: Oklahoma City, OK
| | $21,442 |
09-04587 | 06/29/2010 | Claimant(s): James P. Pache Trust Claimant Lawyers(s): Craig W. Horn Respondent(s): Oppenheimer & Co.. Respondent Lawyers(s): Diana H. Sur Arbitrator(s): A. Robert Stevenson Hearing Site: Detroit, MI
| | $8,000 |
09-01494 | 06/29/2010 | Claimant(s): Kenneth Iwanicki, Penelope Iwanicki Claimant Lawyers(s): Michael J. Calvey Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services. Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook Hearing Site: Chicago, IL
| | $0 |