| 09-05197 | 04/12/2010 | Claimant(s): Warren A. Powers Trust
Claimant Lawyers(s): Terry J. Powers
Respondent(s): Kevin WichmanL Financial Corporation
Respondent Lawyers(s): Ralph DiChiara
Arbitrator(s): Thomas R. Skulina
Hearing Site: Columbus, OH
|  | $0 |
| 08-00032 | 04/09/2010 | Claimant(s): Bernard Cousino, June Cousino
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, GunnAllen Financial., Questar Capital Corporation
Respondent Lawyers(s): Frank J. Bluestein, Julie H. Firestone, William J. Schifino
Arbitrator(s): Edward M. Olson, Harvey Frank, Bruce F. Coleman
Hearing Site: Detroit, MI
| | $123,050 |
| 08-01816 | 04/09/2010 | Claimant(s): Emma Bufkin, The Trust Agreement of Emma Doris Bufkin
Claimant Lawyers(s): Michael P. Cillo
Respondent(s): Alton Mayeu, Merrill Lynch Pierce Fenner & Smith Inc., Sharon Bentz
Respondent Lawyers(s): Bradley B. Rounsaville, Stephen H. Kupperman
Arbitrator(s): Bruce Brown, Samuel Clinton O'Daniel, John Jerold Barrett
Hearing Site: Denver, CO
| | $85,467 |
| 08-02135 | 04/09/2010 | Claimant(s): Marc Mauney & Lynne Rogerson Rev. Living, Qualified Terminable Interest Trust
Claimant Lawyers(s): John A. Bender
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Joseph C. Roberts, Jonathan W. Kaiser, Sheryl Ann Seipp
Hearing Site: Seattle, WA
| | $246,560 |
| 08-04212 | 04/09/2010 | Claimant(s): Janet Marcus, Marcus Kappel & Co. 401K, David Marcus Profit Sharing Plan
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Frank J. Cuccio
Arbitrator(s): Fred S. Pieroni, Alvin Green, Denise L. Quarles
Hearing Site: New York, NY
| | $490,610 |
| 09-02820 | 04/09/2010 | Claimant(s): Connie Lee
Claimant Lawyers(s): Jason R. Doss
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Charles M. Dalziel
Arbitrator(s): Robert W. Kneeland
Hearing Site: Atlanta, GA
| | $53,133 |
| 07-03006 | 04/09/2010 | Claimant(s): J.A. Majors Corporation
Claimant Lawyers(s): Mark A. Hendrix
Respondent(s): UBS Financial Services Inc., PFPC., Wachovia Corporation
Respondent Lawyers(s): Beau Cox, Linda R. Stahl
Arbitrator(s): Helmut O. Wolff, Nichole C. Ake, Edward J. Lynch
Hearing Site: Dallas, TX
| | $0 |
| 08-03866 | 04/09/2010 | Claimant(s): Bruce Means
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Nancy H. Baughan
Arbitrator(s): Preston A. Trimble, Jan Preece Gaddis, David G. Ritchie
Hearing Site: Oklahoma City, OK
| | $0 |
| 09-00755 | 04/09/2010 | Claimant(s): Gene Gasselle
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Schulze
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Judith A. Gust, Cynthia B. Stone, John Scott Carter
Hearing Site: San Diego, CA
| | $0 |
| 09-05598 | 04/09/2010 | Claimant(s): Michele Morris
Claimant Lawyers(s): Michele Morris
Respondent(s): Sharone Hakman
Respondent Lawyers(s): Vanessa M. Hoffman
Arbitrator(s): Kirtley M. Thiesmeyer
Hearing Site: Los Angeles, CA
| | $213 |
