| 08-03748 | 09/21/2009 | Claimant(s): Jed Prevor
Claimant Lawyers(s): Jed Prevor
Respondent(s): Cohen Specialists
Respondent Lawyers(s): Christopher Cacace
Arbitrator(s): Gary W. Sherbell
Hearing Site: New York, NY
|  | $950 |
| 09-01876 | 09/17/2009 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Robert Lieblang
Respondent Lawyers(s): Robert J. Lieblang
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $0 |
| 08-03443 | 09/17/2009 | Claimant(s): Jeffrey Kaufman
Claimant Lawyers(s): John S. Burke
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): Kevin M. O'Hagan
Arbitrator(s): Donald M. Thompson, Michael I. White, Jerome Arthur Connolly
Hearing Site: Chicago, IL
| | $387,960 |
| 08-04279 | 09/17/2009 | Claimant(s): Samuel Plesser
Claimant Lawyers(s): Lee H. Schillinger
Respondent(s): Jason Laing, Suntrust Investment Services.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Melvin Jarolem, Mauricio Arcadier, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-01910 | 09/17/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Corin R. Swift
Arbitrator(s): Judith C. Zerden, Jacob Aschkenasy, Matthew Loguercio
Hearing Site: New York, NY
| | $0 |
| 08-01677 | 09/16/2009 | Claimant(s): Janice Ware, Louis Kelley, Shirley Jones, Lorraine Higgins Estate, Marnita M. Crow and Jan C. Scruggs, Paul and Shirley Vanderburg, Ronald B. and Katharine H. Killary
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): David L. Walby, Ronald Griffith Wilkins, John G. Manley
Hearing Site: Birmingham, AL
| | $148,050 |
| 09-02027 | 09/16/2009 | Claimant(s): Mark Kaplan
Claimant Lawyers(s): Felix M. Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $25,000 |
| 09-01078 | 09/15/2009 | Claimant(s): Elaine Lustig
Claimant Lawyers(s): Elaine B. Lustig
Respondent(s): Barry Pollara, UBS Financial Services Inc., Linda Inman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael H. McConihe
Hearing Site: Norfolk, VA
| | $1,510 |
| 08-04790 | 09/15/2009 | Claimant(s): Charles E. Solak 401K Profit Sharing Pla
Claimant Lawyers(s): Charles E. Solak
Respondent(s): Jeffrey Parr, John Shaw, Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Charles Hoffman, Robert J. Saex, Michael S. Kozlow
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-02219 | 09/14/2009 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William Mccourt Schmitt
Respondent(s): Victor Harberson
Respondent Lawyers(s): Robert L. Hoskins, III
Arbitrator(s): Michael D. Hamilton
Hearing Site: Clearwater, FL
| | $0 |
