| 09-00905 | 11/18/2009 | Claimant(s): Richard Moffitt
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Adam Spero, Anthony Urrico, Investors Capital Corporation
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Harvey Frank, John P. Gouttiere, William C. Alsover
Hearing Site: Detroit, MI
|  | $273,749 |
| 09-02955 | 11/18/2009 | Claimant(s): Mary Hessler, Michael Hessler
Claimant Lawyers(s): Alan R. Perry
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Frederick Ramos
Hearing Site: Minneapolis, MN
| | $8,213 |
| 09-01491 | 11/18/2009 | Claimant(s): Michelle Bensimon
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Rebecca L. Burnaugh
Arbitrator(s): Kenneth M. Felder
Hearing Site: New York, NY
| | $213 |
| 07-03391 | 11/17/2009 | Claimant(s): Dawn Maywood, Sami Maywood
Claimant Lawyers(s): Vincent D. Slavens
Respondent(s): Michael Berteletti, J.P. Turner & Company, L.L.C.
Respondent Lawyers(s): Michael Bertel, Paul J. Schumacher
Arbitrator(s): Jerome M. Libenson, Houston Allen Goddard, John Scott Carter
Hearing Site: San Diego, CA
| | Stipulated Award and Expungement |
| 08-02022 | 11/17/2009 | Claimant(s): James Czyz
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Milestone Financial Services., Penson Financial Services.
Respondent Lawyers(s): Matthew J. Schonberg, Tim Davis
Arbitrator(s): Frank D. Connett, Frederick S. Cassman, Bryan R. Hill
Hearing Site: Omaha, NE
| | $199,743 |
| 08-04772 | 11/17/2009 | Claimant(s): Herold Family Living Trust
Claimant Lawyers(s): Cletus M. Herold
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Jack D. Elmquist, James P. O'Donnell, Alan B. Fender
Hearing Site: Des Moines, IA
| | $47,691 |
| 08-03946 | 11/17/2009 | Claimant(s): William Helms
Claimant Lawyers(s): Teresa Davis Bulford
Respondent(s): Wachovia Securities, James Covington
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Charles L. Measter, James C. Hoover, Charles Stanley Lomax
Hearing Site: Columbia, SC
| | $0 |
| 08-04493 | 11/16/2009 | Claimant(s): Professional Properties Management Inc.
Claimant Lawyers(s): Walter J. Mathews
Respondent(s): Linda Greener, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Steven N. Ainbinder, S. William Gersten, Scott Manker
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 09-00572 | 11/16/2009 | Claimant(s): Josephine DesParte
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Brian Kasal, William Blair & Company L.L.C., William Ross
Respondent Lawyers(s): Andrea K. Zollett, Phillip M. Goldberg
Arbitrator(s): John N. Chapin, Joseph FitzSimmons, John T. Keefe
Hearing Site: Chicago, IL
| | $1,117,860 |
| 08-05006 | 11/16/2009 | Claimant(s): Ishmaila Loum
Claimant Lawyers(s): Ishmaila Loum
Respondent(s): Zecco Trading.
Respondent Lawyers(s): Esther K. Yeu
Arbitrator(s): Thomas B. Phillips, Michael D. Fitzgerald, Donald H. Loudon
Hearing Site: Kansas City, MO
| | $0 |
