| 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 |
