| 09-05164 | 05/11/2010 | Claimant(s): Jerome M. Christenson, Jerome M. & Gloria T. Christenson
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Catherine E. Garas
Arbitrator(s): Frank A. Dusek
Hearing Site: Nashville, TN
|  | $0 |
| 08-01369 | 05/10/2010 | Claimant(s): Diane Zodikoff, John Rausch
Claimant Lawyers(s): Amanda P. Lenhart
Respondent(s): Ameriprise Advisor Services., Robert Bilo
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Peter L. Pointer, James P. McCrocklin, Edmund P. Pultinas
Hearing Site: Cincinnati, OH
| | $56,978 |
| 09-03020 | 05/10/2010 | Claimant(s): Adam Lundquist, Barbara Czencz, Candice Pulliam, Carol Pulliam, Carol Wilson, David Kinard, David Minor, Dolores Ulrich, Donna Kinard, Gordon Lofshult, James Pardee, Jerry Pulliam, Joel Weissman, Julie Reese, Larry Spahr, Lindsey Morisse, Nancy Spahr, Patricia Richhart, Phyllis Lofshult, Richard Brown, et al
Claimant Lawyers(s): James S. Helfrich, Kevin Aoun
Respondent(s): Derek Kent
Respondent Lawyers(s): Derek R. Kent
Arbitrator(s): Bradford J. Lam
Hearing Site: Denver, CO
| | $933,000 |
| 10-01629 | 05/10/2010 | Claimant(s): Marilyn Hazell
Claimant Lawyers(s): Nicholas D. Thomas
Respondent(s): Peak Securities Corporation
Respondent Lawyers(s): David W. Dube
Arbitrator(s): Harvey Alan Blicksilver
Hearing Site: Orlando, FL
| | $400,000 |
| 09-04798 | 05/07/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): David Lu
Respondent Lawyers(s): David D. Lu
Arbitrator(s): Sandor I. Rabkin, John Joseph Cotter, Alicia J. Reines-Leo
Hearing Site: Boston, MA
| | $0 |
| 09-02981 | 05/07/2010 | Claimant(s): Barbara Minsky, Edwin Minsky, Barbara Minsky Trust, Edwin Minsky Trust
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): James D. McDonald, Mauricio Arcadier, Sidney Turner
Hearing Site: Boca Raton, FL
| | $40,200 |
| 09-03250 | 05/07/2010 | Claimant(s): Walter Cole and Antoinette Cole JTTEN
Claimant Lawyers(s): John S. Gaughan
Respondent(s): Wells Fargo Investments, Michael Mcgraw
Respondent Lawyers(s): Vanessa Hoffman
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
| | $5,000 |
| 08-04863 | 05/07/2010 | Claimant(s): Gerald Adkins, Gerald Adkins Irrevocable Trust
Claimant Lawyers(s): Kenneth A. Bohnert
Respondent(s): Morgan Keegan & Company., Robert Elliott
Respondent Lawyers(s): Patrice R. Walker
Arbitrator(s): Sharon R. Merriman, Robert Laurence Astorino, Stephen Ronald Crissey
Hearing Site: Louisville, KY
| | $0 |
| 09-01066 | 05/07/2010 | Claimant(s): Peabody House Company Partnership
Claimant Lawyers(s): Kevin S. Murphy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Gerard S. Marsan, June Y. Kilmarx, Pran N. Tiku
Hearing Site: Boston, MA
| | $0 |
| 09-04373 | 05/07/2010 | Claimant(s): James R. Burns, IRA
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | $0 |
