| 09-04857 | 05/28/2010 | Claimant(s): James Hayter
Claimant Lawyers(s): James E. Hayter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira L. Oring
Arbitrator(s): Edward M. Statland
Hearing Site: Washington, DC
|  | $7,750 |
| 09-02518 | 05/28/2010 | Claimant(s): Elizabeth Austin, Elizabeth O. Austin Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): John D. Perry
Arbitrator(s): Murray S. Levin, Joseph M. Rebein, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | $0 |
| 09-02538 | 05/28/2010 | Claimant(s): Marie Blomker, The Estate of Joseph W. Blomker, The Blomker Family Revocable Trust
Claimant Lawyers(s): Michael J. Stanley
Respondent(s): Michael Booker, Financial Synergies Asset Management,
Respondent Lawyers(s): Andrew P. Tower
Arbitrator(s): Tim S. Hartzell, Jeff Kilgore, Robert Alan Meyer
Hearing Site: Houston, TX
| | $0 |
| 09-03935 | 05/27/2010 | Claimant(s): John Jones
Claimant Lawyers(s): Matthew K. Edling
Respondent(s): Wells Fargo Investments, Evan Sanchez, Robert Lenz
Respondent Lawyers(s): Eric G. Wallis
Arbitrator(s): Charles E. Farnsworth, Jonathan Holman Hathaway, Homer L. Davis
Hearing Site: San Francisco, CA
| | $140,250 |
| 09-06013 | 05/27/2010 | Claimant(s): John Gaughan
Claimant Lawyers(s): John Gaughan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Mark R. Lee
Hearing Site: Kansas City, MO
| | $0 |
| 08-03219 | 05/27/2010 | Claimant(s): Anne K. and William L. Porter Foundation, Arlington Properties., Kinport Corporation, WRK, Mary S. Kinder Trust
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Larry R. Trussell, James C. Morrow, Christopher Daniel Gryzen
Hearing Site: Omaha, NE
| | $391,375 |
| 09-00950 | 05/27/2010 | Claimant(s): Catalyst Health Solutions.
Claimant Lawyers(s): Bruce V. Spiva
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Albert D. Sturtevant, Michael H. McConihe, Bryan Thomas Di Lella
Hearing Site: Washington, DC
| | $9,750,000 |
| 09-01809 | 05/27/2010 | Claimant(s): Charles Wasserman, Edward Wasserman, Michael Hensch
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Robert L. Palleschi, George W. Klein, Joseph F. Wagner
Hearing Site: New York, NY
| | Vacated by Circuit Court |
| 09-03579 | 05/27/2010 | Claimant(s): The Elayne S. Wolfenson Trust, The Marvin E. Wolfenson Trust
Claimant Lawyers(s): Ronald L. Haskvitz
Respondent(s): Wells Fargo Investments, Todd Baker
Respondent Lawyers(s): Kristina W. Carlson
Arbitrator(s): Roger D. Johnson, Peter N. Thompson, Joan L. Volz
Hearing Site: Minneapolis, MN
| | $238,113 |
| 09-04142 | 05/27/2010 | Claimant(s): Donald Rose
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Howard Wolkowitz, AXA Advisors, Brinker Capital.
Respondent Lawyers(s): Russell A. Divak, William A. Kebler, William R. Grimm
Arbitrator(s): Richard S. Zaifert
Hearing Site: Ft. Lauderdale, FL
| | $34,670 |
