| 09-00748 | 10/28/2009 | Claimant(s): Alan Evans
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Ettore Ventrice, Michael Bober, Sanford Steinberg
Respondent Lawyers(s): James D. Sallah
Arbitrator(s): Sheldon I. Saitlin, Richard J. Kaplan, Edwin J. Slovitt
Hearing Site: Boca Raton, FL
|  | $0 |
| 08-03152 | 10/27/2009 | Claimant(s): Hazel Simpson
Claimant Lawyers(s): Jason A. Richardson
Respondent(s): Ryan Orlando, Interactive Brokers
Respondent Lawyers(s): John J. Nielands, Ryan M. Orlando
Arbitrator(s): Richard C. Downing, Robert E. Graves, Lydia M. Quarles
Hearing Site: Jackson, MS
| | $997,982 |
| 08-03654 | 10/27/2009 | Claimant(s): Billy and Sharon Powell, Robert and Helen Perkins
Claimant Lawyers(s): Brian N. Smiley, Peter J. Mougey
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Donald N. Cohen
Arbitrator(s): Arthur W. Pigott, Mark A. Myers, James Francis Donovan
Hearing Site: Birmingham, AL
| | $222,053 |
| 08-04225 | 10/27/2009 | Claimant(s): Almas Temple A.A.O.N.M.S.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): M&T Securities.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Steven R. Bralove, Michael J. Henke, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 09-01310 | 10/27/2009 | Claimant(s): Carol deMontel
Claimant Lawyers(s): Carol deMontel
Respondent(s): Jennifer Goodman, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): R. Peter Faris
Hearing Site: Albuquerque, NM
| | $0 |
| 09-01414 | 10/27/2009 | Claimant(s): Gayle Speights, Ray Speights
Claimant Lawyers(s): Cassidy L. Anderson
Respondent(s): UBS Financial Services Inc., Robert Johnston
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Lawrence M. Oberdank
Hearing Site: Birmingham, AL
| | $213 |
| 08-02229 | 10/26/2009 | Claimant(s): David Schoen
Claimant Lawyers(s): Eric J. Sussman
Respondent(s): Charles Friedlander, Citigroup Global Markets., Lawrence Ellner
Respondent Lawyers(s): Alejandre Schwed
Arbitrator(s): Jeffrey Bega, Martin H. Zern, Peter P. Skomorowsky
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 08-03252 | 10/26/2009 | Claimant(s): Lavon Voyles
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Walter Wilson, ING Financial Partners.
Respondent Lawyers(s): Greg Moore
Arbitrator(s): Linda Broocks, Philip I. McConnell, Lynne M. Gomez
Hearing Site: Houston, TX
| | $300 |
| 08-03386 | 10/26/2009 | Claimant(s): Gene McCutchin
Claimant Lawyers(s): Robert L. Wright
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Jeff Abrams, Nicole T. LeBoeuf, Robert E. Behrendt
Hearing Site: Dallas, TX
| | $250 |
| 08-03050 | 10/23/2009 | Claimant(s): Roger St. Onge and Barbara St. Onge
Claimant Lawyers(s): Steven T. Shults
Respondent(s): Harold Grubbs, Financial Management.
Respondent Lawyers(s): Joshua P. Henry
Arbitrator(s): Fred M. Ridolphi, John A. Davis, Ronald R. Wilhelm
Hearing Site: Little Rock, AR
| | $70,000 |
