| 08-01045 | 07/29/2009 | Claimant(s): James Ritter, Maxim Growth Fund LP
Claimant Lawyers(s): James D. Ritter
Respondent(s): Wachovia Securities Financial Network, Eric Lyon, John Black
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Arnold Wagner, Joseph W. Lodato, Anthony Michael Sabino
Hearing Site: New York, NY
|  | $0 |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
| 08-01945 | 07/28/2009 | Claimant(s): Olga Servay, Olga Stone As Custodian for Anna Servay, Olga Stone, TTEE to TRT dated 082697
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Fred W. Beesley, Neil Harvey Smith, Richard Lee Matthews
Hearing Site: Nashville, TN
| | $18,751 |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
| 08-02148 | 07/28/2009 | Claimant(s): Barry Bradshaw, Phyllis Bradshaw, Barry K. and Phyllis J. Bradshaw Trust
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): David B. Coates, Mark A. Myers, Edward A. Nelson
Hearing Site: Little Rock, AR
| | $0 |
| 09-00346 | 07/27/2009 | Claimant(s): G. Reagan Shanley III & Deidre F. Shanle
Claimant Lawyers(s): G. Shanley Reagan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $213 |
| 08-03307 | 07/24/2009 | Claimant(s): Albert Longbotham Trust
Claimant Lawyers(s): Robert S. Banks
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Gerald D. Wygant, Bonny Kathleen Riggs, Katherine H. O'Neil
Hearing Site: Portland, OR
| | $76,145 |
| 09-01199 | 07/24/2009 | Claimant(s): Dennis Turman, Dennis Roger Turman, IRA
Claimant Lawyers(s): J. Boyd Page
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A Christensen
Arbitrator(s): Joe Carroll Thomas
Hearing Site: Charlotte, NC
| | $8,673 |
| 08-02452 | 07/24/2009 | Claimant(s): Liem Leigh
Claimant Lawyers(s): Liem Leigh
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John E. Bersin
Arbitrator(s): Richard J. Stall, Troy C. Sumrall, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04749 | 07/23/2009 | Claimant(s): Cheryl Jordan
Claimant Lawyers(s): Cheryl Jordan
Respondent(s): Morgan Stanley & Co., Stephen La Cour
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): Joseph M. O'Connor
Hearing Site: San Francisco, CA
| | $8,213 |
