| 09-03773 | 03/31/2010 | Claimant(s): Dora McIlhenny Trust
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Greg S. Como
Arbitrator(s): Robert S. McConnell, Gary L. Freeman, Brian W. Yee
Hearing Site: Phoenix, AZ
|  | $91,129 |
| 09-04981 | 03/31/2010 | Claimant(s): Carol Kroptavich, Ronald Kroptavich, IRA FBO Ronald Kroptavich
Claimant Lawyers(s): John McGovern
Respondent(s): Ronald Paull
Respondent Lawyers(s): Dianna D. McCarthy
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | $10,213 |
| 09-01467 | 03/31/2010 | Claimant(s): Faye Ruback
Claimant Lawyers(s): David A. Weintraub
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): John R. Loss, Jeffrey C. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
| | $0 |
| 09-05203 | 03/31/2010 | Claimant(s): Timothy Makas
Claimant Lawyers(s): Timothy Makas
Respondent(s): Richard Netter, Senate Securities
Respondent Lawyers(s): Richard M. Netter
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 09-05973 | 03/31/2010 | Claimant(s): David G. Steakley and Paula B. Steakley
Claimant Lawyers(s): David G. Steakley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert Matthews
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 08-04948 | 03/30/2010 | Claimant(s): The Westervelt Company
Claimant Lawyers(s): Peter R. Sonderby
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Jonathan Rosenberg
Arbitrator(s): Kendall P. Hill, Fred M. Ridolphi, M. Bruce Adelberg
Hearing Site: Birmingham, AL
| | $6,025,000 |
| 09-02446 | 03/30/2010 | Claimant(s): Snehal Patel
Claimant Lawyers(s): Snehal Patel
Respondent(s): Westrock Advisors.
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
| | $240 |
| 09-03448 | 03/30/2010 | Claimant(s): Rita Kaufman
Claimant Lawyers(s): Jill Gross
Respondent(s): Alfred Kelly, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $0 |
| 08-04027 | 03/29/2010 | Claimant(s): Arun Verma, Karuna Verma, Makan Limited Partnership
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Wachovia Securities, John Montfort, A.G. Edwards & Sons.
Respondent Lawyers(s): Daniel Kirshbaum, Jack C. Ballard
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Charles S. Chester
Hearing Site: Houston, TX
| | $82,837 |
| 09-01745 | 03/26/2010 | Claimant(s): Christine L.Lane, as Bene of the
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): George A. Sellnau, Steven M. Ruderman, Michele N. O'Brien
Hearing Site: Houston, TX
| | $0 |
