| 08-03921 | 11/09/2009 | Claimant(s): Ronald Hardy
Claimant Lawyers(s): Howard E. Greenberg
Respondent(s): Thomas Zulkowsky, Aura Financial Services.
Respondent Lawyers(s): Glenn M. Salvo, John Woodruff, Jr. Compliance
Arbitrator(s): Kathryn J. Hoy, Christine C. DeMoss, Jeffrey W. Jacobs
Hearing Site: Minneapolis, MN
|  | $115,923 |
| 09-00235 | 11/09/2009 | Claimant(s): Nickolas J. Batis and Carol Ann Batis
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Karl F. Meyers, Kevin R. McDermott, Christopher Lepore
Hearing Site: Pittsburgh, PA
| | $3,193 |
| 09-00947 | 11/09/2009 | Claimant(s): Thomas Zulkosky
Claimant Lawyers(s): J. Jackson
Respondent(s): Ronald Hardy, Aura Financial Services.
Respondent Lawyers(s): Howard E. Greenberg, John Woodruff, Jr. Compliance
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | $115,923 |
| 09-00270 | 11/09/2009 | Claimant(s): Jack Olin Robeson Contributory IRA
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Cara L. Meredith
Arbitrator(s): Mark A. Myers, Patricia Best Vital, Todd Edward Phillips
Hearing Site: Memphis, TN
| | $0 |
| 08-04604 | 11/06/2009 | Claimant(s): Charlotte Lucas, Charlotte Lucas Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Mary Mada, Stuart Burchard, Broad Street Securities.
Respondent Lawyers(s): Mary Philomena Mada, Stuart G. Burchard
Arbitrator(s): William C. Kubicz, Patrick R. Sughroue, Roman S. Gribbs
Hearing Site: Detroit, MI
| | $427,042 |
| 08-03846 | 11/06/2009 | Claimant(s): Martha Laura Howse
Claimant Lawyers(s): Martha Howse
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Constance d'Angelis, A. Michelle Jernigan, Julie Behr Zimmerman
Hearing Site: Orlando, FL
| | $225 |
| 08-04256 | 11/06/2009 | Claimant(s): Michael and Ann Gibson Trust
Claimant Lawyers(s): Michael Gibson
Respondent(s): Interactive Brokers LLC, M&A Gibson d/b/a Investment Enterprises
Respondent Lawyers(s): Juli Aylesworth, Michael Gibson
Arbitrator(s): Douglas Randall Blohm, Andrew R. Dick, Craig A. Gordon
Hearing Site: Minneapolis, MN
| | $0 |
| 09-02983 | 11/06/2009 | Claimant(s): Marc Hanish
Claimant Lawyers(s): Marc Hanish
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | $0 |
| 09-01320 | 11/05/2009 | Claimant(s): The Benward Family Trust DTD 1/17/2000
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Rebecca L. Burnaugh
Arbitrator(s): Daniel Robbins
Hearing Site: New York, NY
| | $25,425 |
| 08-02547 | 11/04/2009 | Claimant(s): Dana Gribi
Claimant Lawyers(s): Jack W. Cunningham
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): David R. Maurer
Arbitrator(s): Donald K. Eckhardt, Martin Samuel Altimore, Jeffrey R. Jury
Hearing Site: Houston, TX
| | $7,500 |
