| 08-02228 | 05/06/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Ralph Lustin
Respondent Lawyers(s): Ralph A. Lustin
Arbitrator(s): James J. Dalton
Hearing Site: Atlanta, GA
|  | $0 |
| 08-00893 | 05/06/2009 | Claimant(s): Donald Burnham, Jr., Kelly Burnham
Claimant Lawyers(s): Timothy J. O'Connor
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bruce Cramer
Arbitrator(s): Marc R. Green, Brian J. Burstin, Kenneth Dymond
Hearing Site: Albany, NY
| | $0 |
| 08-03057 | 05/06/2009 | Claimant(s): Ralph Plechner
Claimant Lawyers(s): Ralph E. Plechner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Alan S. Rafterman
Arbitrator(s): Alan J. Blocher
Hearing Site: Philadelphia, PA
| | $0 |
| 08-04910 | 05/06/2009 | Claimant(s): Deborah Walsh
Claimant Lawyers(s): Deborah C Walsh
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Denise L. Presley
Hearing Site: Charlotte, NC
| | $0 |
| 06-04460 | 05/05/2009 | Claimant(s): The Burdette P. Mast Trust, The Geraldine K. Mast Trust
Claimant Lawyers(s): William S. Bonnheim
Respondent(s): Eric Solis
Respondent Lawyers(s): Eric A. Solis
Arbitrator(s): Pamela M. Katzenberg, Jerome K. Altshuler, Jeffrey Charles Evanello
Hearing Site: Phoenix, AZ
| | $75,000 |
| 08-03633 | 05/05/2009 | Claimant(s): Dio Javier
Claimant Lawyers(s): Dio B Javier
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): A. Joel Klein
Hearing Site: Los Angeles, CA
| | $3,615 |
| 08-01819 | 05/05/2009 | Claimant(s): Thomas Guastello
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Citigroup Global Markets., Shawn Burr
Respondent Lawyers(s): Hugo A. Hilgendorff
Arbitrator(s): Jerome D. Sobczak, A. Robert Stevenson, Eugene Kenneth Laporte
Hearing Site: Detroit, MI
| | $0 |
| 08-03794 | 05/04/2009 | Claimant(s): Lila Kliegman, Trustee
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Norman L. Weiss
Hearing Site: Boca Raton, FL
| | $213 |
| 08-04174 | 05/04/2009 | Claimant(s): Alice Talisse and Richard Talisse
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Diane Getzler
Hearing Site: New York, NY
| | $163 |
| 08-01659 | 05/01/2009 | Claimant(s): A.B. Cover Trust, Herbert Cover III,Ttee
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Catherine E. Garas
Arbitrator(s): Jane C. Carney, Frank Warren Moore, Donita M. King
Hearing Site: Richmond, VA
| | $61,000 |
