| 09-03062 | 06/03/2010 | Claimant(s): James A. Dixon Testamentary Trust
Claimant Lawyers(s): Michael Dixon
Respondent(s): Keith Steiner, UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Herbert B. Williams, Daniel J. Donovan, Arlene J.M. Grant
Hearing Site: Baltimore, MD
|  | Lack Jurisdiction (Rule 12200/12201) |
| 09-02725 | 06/03/2010 | Claimant(s): Bruce Hughes, Mark F. Bryant Testamentary Trust
Claimant Lawyers(s): Thomas M. Haskins
Respondent(s): Charlotte Maier, Wells Fargo Investments
Respondent Lawyers(s): Thomas Kopshever
Arbitrator(s): Samuel E. Wing, Anthony B. Petrelli, Thomas L. Dueber
Hearing Site: Denver, CO
| | $0 |
| 08-00486 | 06/02/2010 | Claimant(s): Ralph Joel
Claimant Lawyers(s): Paul F. Carvelli
Respondent(s): Jay Eisenstark, Eisenstark Advisory.
Respondent Lawyers(s): Jay Eisenstark, Todd M. Sahner
Arbitrator(s): Linda T. Pellegrino, B. David Jarashow, Robert A. Vallone
Hearing Site: Newark, NJ
| | $375,000 |
| 09-02255 | 06/02/2010 | Claimant(s): The Maximillian H. Miltzlaff Rev. Trust
Claimant Lawyers(s): Richard J.J. Scarola
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Earl S. Schwarz, Evdokia Sofos, Carolyn A. Mann
Hearing Site: New York, NY
| | $60,000 |
| 08-00499 | 06/01/2010 | Claimant(s): Elizabeth Fowler
Claimant Lawyers(s): Kirk Reasonover
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Andrea Morgan Greene
Arbitrator(s): Leonard E. Benade, Michael T. Nobile, Howard R. Gaines
Hearing Site: New Orleans, LA
| | $70,000 |
| 09-01323 | 06/01/2010 | Claimant(s): Robert Craig, Robert H. Craig Rev Living Trust
Claimant Lawyers(s): Scott C. Ilgenfritz
Respondent(s): William Gordon, Investors Capital Corporation
Respondent Lawyers(s): James A, McGovern
Arbitrator(s): John P. Cullem, David M. Snyder, George E. Bouse
Hearing Site: Tampa, FL
| | $150,266 |
| 09-01053 | 06/01/2010 | Claimant(s): Jonathan Morse Seltzer IRA, Susan Oehler Seltzer IRA
Claimant Lawyers(s): Jonathan Morse Seltzer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Daniel M. Rabinovitz
Arbitrator(s): Lawrence R. Commers, Richard W. Thiele, Brett W. Olander
Hearing Site: Minneapolis, MN
| | $0 |
| 09-04718 | 06/01/2010 | Claimant(s): Brian Behan, Marion Behan
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Marsco Investment Corporation
Respondent Lawyers(s): Steven M. Hecht
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | $0 |
| 08-03396 | 05/28/2010 | Claimant(s): Frederick Hart
Claimant Lawyers(s): J. Jerome Hartzell
Respondent(s): Bruce Baker, Peter Dawson, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis, Paul R. Williams, Peter J. Dawson-08A3494
Arbitrator(s): Jack C. Aycock, C. Marcus Harris, Chase Boone Saunders
Hearing Site: Charlotte, NC
| | $89,439 |
| 09-02992 | 05/28/2010 | Claimant(s): Martin Fischer
Claimant Lawyers(s): Martin J. Fischer
Respondent(s): Andrea Fischer, Joseph Lushina, Edward Jones
Respondent Lawyers(s): Andrea Fischer, Edwin A. Barkel
Arbitrator(s): Lester Friedman, James W. Warren, Ralph L. Jacobson
Hearing Site: Reno, NV
| | $15,300 |
