| 08-00097 | 08/03/2009 | Claimant(s): Estate of Vera Dennington, Gordon Axton, Norma Axton, Shepard Smith
Claimant Lawyers(s): Jason Pang Fe Lee
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Thomas C. McNally, Donald H. Korn, Thomas E. Quinlin
Hearing Site: San Francisco, CA
|  | $146,515 |
| 08-02659 | 08/03/2009 | Claimant(s): Wilfred Underwood
Claimant Lawyers(s): Wilfred J. Underwood
Respondent(s): Richard Brownstein, SII Investments.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Arnold Limsky, Edith M. Novack, Thomas Anthony Brady
Hearing Site: Newark, NJ
| | $5,750 |
| 08-04984 | 08/03/2009 | Claimant(s): The Schaer Trust U/A DTD 03/10/2006
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
| | $16,429 |
| 09-00442 | 08/03/2009 | Claimant(s): Rohan Russell
Claimant Lawyers(s): Rohan Russell
Respondent(s): Northgate Securities Inc.
Respondent Lawyers(s): Robert Yrshus
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Buffalo, NY
| | $9,325 |
| 06-03133 | 08/03/2009 | Claimant(s): Ronald Marks
Claimant Lawyers(s): Walter D'Ull
Respondent(s): MBSC Securities Corporation
Respondent Lawyers(s): Ronald Shingh
Arbitrator(s): Richard D. Gueren, Allan E. Johnson, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | $0 |
| 09-00700 | 08/03/2009 | Claimant(s): Michael Castle
Claimant Lawyers(s): Michael E. Castle
Respondent(s): Charles Huff, Fifth Third Securities.
Respondent Lawyers(s): Robert M. Zimmerman
Arbitrator(s): Jason C. Blackford
Hearing Site: Columbus, OH
| | $0 |
| 08-04600 | 07/31/2009 | Claimant(s): Susan Regan, Susan M. Regan Trust
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Scott Kozak, Multi-Financial Securities Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Marc H. Schtul, Marilyn R. Lewis, Lawrence Douglas Brookes
Hearing Site: Denver, CO
| | $52,050 |
| 08-00658 | 07/30/2009 | Claimant(s): Jonathan Horne, Patricia Horne, JPH Enterprises, Vance B. Forsgren Family Trust
Claimant Lawyers(s): Jerome Romero
Respondent(s): Albert Alvey, Kevin Kunz, Investment Management Corporation
Respondent Lawyers(s): Kevin D. Kunz, William H. Christensen
Arbitrator(s): Richard J. Lawrence, John G. Manley, James D. Searles
Hearing Site: Salt Lake City, UT
| | $500,375 |
| 08-03406 | 07/30/2009 | Claimant(s): Larry Overbay
Claimant Lawyers(s): Larry W. Overbay
Respondent(s): Danielle Newman, Robert Carpenter
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
| | $15,031 |
| 07-03560 | 07/30/2009 | Claimant(s): Joseph E. Shamy & Greta R. Shamy, JTWROS
Claimant Lawyers(s): Daniel Shamy
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): John C. Newsom, Harvey Alan Blicksilver, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
