09-04686 | 05/25/2010 | Claimant(s): Barbara Bauer Claimant Lawyers(s): Harvey R. Herman Respondent(s): Anthony Cibotti, UBS Financial Services Inc. Respondent Lawyers(s): John O Murphy Arbitrator(s): Richard J. Belmonte Hearing Site: Chicago, IL
| | $0 |
09-01388 | 05/24/2010 | Claimant(s): James Taylor, Peggy Taylor Claimant Lawyers(s): Richard B. Fosher Respondent(s): Edward Jones Respondent Lawyers(s): Donald R. Littlefield Arbitrator(s): Phillip Lee Scheldt, Catherine M. Norman, Brian D. Esenwein, JD, CPA Hearing Site: Dallas, TX
| | $131,000 |
09-01724 | 05/24/2010 | Claimant(s): Clyde Byram, Meleena Byram Claimant Lawyers(s): Steven W. Koslovsky Respondent(s): Julie Rosenthal, William Rosenthal, Rosenthal Retirement Planning LP Respondent Lawyers(s): Martin S. Schexnayder Arbitrator(s): Leah A. Murray, Robert W. Dempsey, Michael William Petty Hearing Site: St. Louis, MO
| | $52,600 |
09-01757 | 05/24/2010 | Claimant(s): Julie Gerowitz Claimant Lawyers(s): Charles R. Jacob Respondent(s): Alan Ulan, Citigroup Global Markets., Michael Lee Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Anthony Marchese, Pamela H. Roderick, David R. Foley Hearing Site: New York, NY
| | $180,000 |
09-05686 | 05/24/2010 | Claimant(s): Joseph R and Bernadette M Rogers Claimant Lawyers(s): Joseph R Rogers Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Edward Walton Arbitrator(s): Catherine Stewart Hearing Site: Philadelphia, PA
| | $7,856 |
09-06046 | 05/24/2010 | Claimant(s): Mon Chu Claimant Lawyers(s): Kevin Conway Respondent(s): A. B. Watley Direct. Respondent Lawyers(s): Ralph Armenti Arbitrator(s): Arnold Wagner Hearing Site: New York, NY
| | $25,000 |
09-00482 | 05/24/2010 | Claimant(s): Joseph M. Fischer Trust Claimant Lawyers(s): Mark E. Maddox Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Hugo A. Hilgendorff Arbitrator(s): Barry Goldman, Richard C. Vanden Brul, Seth H. Barsky Hearing Site: Detroit, MI
| | $0 |
08-04007 | 05/21/2010 | Claimant(s): Luby's Restaurants Limited Partnership Claimant Lawyers(s): Roy Camberg Respondent(s): Credit Suisse Securities (USA) LLC Respondent Lawyers(s): Brian F. Amery Arbitrator(s): Carol Ann Stapper, Larry J. Craddock, Allan R. Lazor Hearing Site: Houston, TX
| | Auction Rate Securities related |
09-05763 | 05/21/2010 | Claimant(s): Preston A. Reed 2000 Trust Claimant Lawyers(s): Preston A. Reed Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric J. Glassman Arbitrator(s): Robert L. Chase Hearing Site: Manchester, NH
| | $6,139 |
08-04432 | 05/21/2010 | Claimant(s): Linda Manjarrez Claimant Lawyers(s): Evans J. Carter Respondent(s): Paul Hess, Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): June Y. Kilmarx, Peter Svorinic, Jeffrey S. Troderman Hearing Site: Boston, MA
| | $0 |