| 08-02240 | 10/12/2009 | Claimant(s): RMD/R Family Ltd. Partnership, Tonka Lakes, The Robert J. Rotenberg 2002 Irvoc Tr
Claimant Lawyers(s): Mark L. Johnson
Respondent(s): Deutsche Bank Securities., Deutsche Bank Alex.Brown
Respondent Lawyers(s): Bradford D. Kaufman
Arbitrator(s): Judith A. Rogosheske, Brett W. Olander, Patricia S. Bartholomew
Hearing Site: Minneapolis, MN
|  | $315,600 |
| 09-00228 | 10/12/2009 | Claimant(s): Robert Logan
Claimant Lawyers(s): Robert Logan
Respondent(s): Anthony Inkumsah, Ekn Financial Services Inc.
Respondent Lawyers(s): Bradley D. Schnur
Arbitrator(s): Robert Pincus, Marilyn J. Salzman, Susan L. Smithline
Hearing Site: New York, NY
| | $18,175 |
| 08-03766 | 10/12/2009 | Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
| | $0 |
| 08-03867 | 10/12/2009 | Claimant(s): Sandra Muns
Claimant Lawyers(s): Sandra Muns
Respondent(s): Tyler Johns, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Leonard J. Sullivan
Hearing Site: Houston, TX
| | $0 |
| 09-00599 | 10/12/2009 | Claimant(s): The David & Catherine Moussazadeh Founda
Claimant Lawyers(s): David Moussazadeh
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Donald J. Zoeller
Hearing Site: New York, NY
| | $0 |
| 08-01294 | 10/09/2009 | Claimant(s): Joseph Wayne Smith and Carol C. Smith
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Steve R. Neuman, Keith E. Robinson, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $40,000 |
| 08-03841 | 10/09/2009 | Claimant(s): Shannon L. Nichols Trust
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood, William A. Hohauser
Arbitrator(s): Ross W. Cannon, Kevin D. Swenson, Janet M. Thompson
Hearing Site: Salt Lake City, UT
| | $296,890 |
| 08-04508 | 10/09/2009 | Claimant(s): Elva Vasquez
Claimant Lawyers(s): Randall A. Pulman
Respondent(s): Chase Investment Services Corp., Jonathan Cromwell, Thomas Davila
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Randall W Heinrich, James Sean Healey, William Richard Smith
Hearing Site: Houston, TX
| | $75,000 |
| 08-01288 | 10/08/2009 | Claimant(s): Harwell Family Trust, William P. Harwell Trust
Claimant Lawyers(s): Jan D. Atlas, William P. Harwell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Doris V. Knotter, John C. Lees, Michael D. Briggs
Hearing Site: San Diego, CA
| | $0 |
| 08-04044 | 10/08/2009 | Claimant(s): Michael Fogarty
Claimant Lawyers(s): John P. Connolly
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Jerome Nelson, Gene E. Godley, Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
