| 09-03112 | 04/01/2010 | Claimant(s): SMH Capital Inc.
Claimant Lawyers(s): Martha F. McDugald
Respondent(s): John Defini
Respondent Lawyers(s): John Defini
Arbitrator(s): Kathleen P. Helbig-Hannan
Hearing Site: Cleveland, OH
|  | $0 |
| 08-04774 | 04/01/2010 | Claimant(s): Joseph Vanek
Claimant Lawyers(s): Alberto Rodriguez
Respondent(s): UBS Securities LLC, Douglas Eaton, UBS Financial Services Inc., UBS AG
Respondent Lawyers(s): Tracey Salmon-Smith
Arbitrator(s): John F Fennig, Robert S. Sugarman, Michael Howard Rosenbloom
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-01258 | 04/01/2010 | Claimant(s): Albert Bedran, Albert and Wendy Bedran
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Advanced Equities.
Respondent Lawyers(s): James D. Wilson
Arbitrator(s): Raymond P. Buschmann, James Michael Bailey, John T. Keefe
Hearing Site: Chicago, IL
| | $55,000 |
| 09-04054 | 04/01/2010 | Claimant(s): Lennart B. Svard
Claimant Lawyers(s): Lennart B. Svard
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Kiran Somashekara
Arbitrator(s): Piedad A. Bernikow
Hearing Site: Newark, NJ
| | $6,777 |
| 08-01314 | 04/01/2010 | Claimant(s): Lida Bryan, Estate of William Coleman Bryan,Deceased
Claimant Lawyers(s): John A. Lucas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Fred W. Beesley, Hugh J. Moore, W. Bruce Franklin
Hearing Site: Nashville, TN
| | $0 |
| 08-02468 | 04/01/2010 | Claimant(s): Ellen Koval
Claimant Lawyers(s): Jonathan Kurta
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Louis H. Miron, Marvin L. Schuldiner, Stephen M. Plotnick
Hearing Site: New York, NY
| | $0 |
| 08-04703 | 04/01/2010 | Claimant(s): Terry Green
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): John K. Boyce, Charles E. Munson, Byron G. Hannah
Hearing Site: Houston, TX
| | $0 |
| 07-03554 | 03/31/2010 | Claimant(s): Gloria Amstrong
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, GunnAllen Financial., Questar Capital Corporation
Respondent Lawyers(s): Frank J. Bluestein, Julie H. Firestone, Suzanne Walsh
Arbitrator(s): A. Robert Stevenson, Lee Hornberger, Anthony Allen Mogle
Hearing Site: Detroit, MI
| | $137,000 |
| 08-00462 | 03/31/2010 | Claimant(s): Robin Visocsky
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): Margaret F. Swetman
Arbitrator(s): Sandra K. Hummel, Sherry L. Robinson, John R. Loss
Hearing Site: Kansas City, MO
| | $385,650 |
| 08-03255 | 03/31/2010 | Claimant(s): Frank Sellers, Jay Carpenter
Claimant Lawyers(s): Kent W. Starr
Respondent(s): Stifel, Nicolaus & Co.., Steven Bright
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Maxel (Bud) B. Silverberg, Marie A. Moore, Philip I. McConnell
Hearing Site: Dallas, TX
| | $366,300 |
