08-03982 | 05/18/2010 | Claimant(s): Bradford Kohlenberg, Virginia Lake Townhouses, Bradford Kohlenberg Qualif. Dispos. Trus Claimant Lawyers(s): Mark T. Drooks Respondent(s): RBC Capital Markets LLC, Stan Dreyfuss Respondent Lawyers(s): Michael M. Gless Arbitrator(s): Michael D. Harrison, Edward A. Trabin, Gerald C. Tambe Hearing Site: Los Angeles, CA
| | $340,000 |
09-01827 | 05/18/2010 | Claimant(s): Lois Pillen Claimant Lawyers(s): Gail Boliver Respondent(s): Wachovia Securities Respondent Lawyers(s): Richard H. Kuhlman Arbitrator(s): James C. Morrow Hearing Site: Omaha, NE
| | $26,225 |
08-03012 | 05/17/2010 | Claimant(s): Tracy Scruggs, Andrew C. Scruggs and Tracy H. Scruggs Claimant Lawyers(s): William J. Gladden Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): M. Jason Hale Arbitrator(s): Jeffrey M. Bain, G. Brooks Euler, Kevin Clark Hearing Site: Nashville, TN
| | $50,300 |
09-03352 | 05/17/2010 | Claimant(s): Philip Henderson Claimant Lawyers(s): William R. Fishman Respondent(s): Keys Tinney, ING Financial Partners. Respondent Lawyers(s): William D. Nelson Arbitrator(s): Paul A. Krepinski, Gerhard L. Schopen, Michael A. Ruderman Hearing Site: Denver, CO
| | $434,445 |
08-03051 | 05/14/2010 | Claimant(s): Desa Trading Co. Claimant Lawyers(s): Mark D. Hunter Respondent(s): Carlos Garcia, Advanced Trading Services Respondent Lawyers(s): Carlos Manuel Garcia Arbitrator(s): Todd M. Saunders, Jeffrey R. Roth, John H. Claudy Hearing Site: Miami, FL
| | $125,000 |
07-03546 | 05/14/2010 | Claimant(s): Gerald Worden, Robyn Worden Claimant Lawyers(s): Anthony V. Trogan Respondent(s): Questar Capital Corporation Respondent Lawyers(s): Daniel J. Supalla Arbitrator(s): Edward M. Olson Hearing Site: Detroit, MI
| | $34,897 |
08-00082 | 05/14/2010 | Claimant(s): Eugene O. Jones and Joy F. Jones Claimant Lawyers(s): Kalju Nekvasil Respondent(s): Charles Slowey, Edward Puttick, Advanced Planning Securities. Respondent Lawyers(s): Charles C. Slowey, Joseph Keenan Arbitrator(s): John J. Meyer, Jerry C. Prestridge, David Walton Earle Hearing Site: New Orleans, LA
| | Stipulated Award |
08-04425 | 05/14/2010 | Claimant(s): Guenther Roth Claimant Lawyers(s): Thomas E. Jamison Respondent(s): David Tysk, Ameriprise Financial Services. Respondent Lawyers(s): John Rock Arbitrator(s): Kathy A. Tatone, Arthur Richard Tow, Gary L. Hansen Hearing Site: Minneapolis, MN
| | $466,000 |
09-01513 | 05/14/2010 | Claimant(s): Mary Hale, Brianna Nicole Fore, CGM Education Savin, Jared Austin Fore, CGM Educational Savi, Laura Pelkey U/OR/UTMA Mary Belle Hale, Mariah Fore U/OR/UTMA Mary Belle Hale, Nicholas Alexander Fore,CGM Education Sa, Mary Belle Hale CGM IRA Claimant Lawyers(s): Jeffrey S. Salisbury Respondent(s): Citigroup Global Markets., Lloyd Millegan Respondent Lawyers(s): Melanie L. Ronen Arbitrator(s): Gary F. Purpura, James John Jurinski, Robert Sachs Mandelson Hearing Site: Portland, OR
| | $0 |
08-04902 | 05/13/2010 | Claimant(s): Mary Davis Claimant Lawyers(s): Lee Bowie Respondent(s): Alan Ferguson, James Kelsoe, Lynn Shaw, Morgan Keegan & Company. Respondent Lawyers(s): Suzanne H. Bertolett Arbitrator(s): Donald K. Eckhardt, Dale A. Hearn, Robert M. Lubin Hearing Site: Jackson, MS
| | $196,958 |