| 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 |
