| 08-00375 | 03/11/2009 | Claimant(s): Michael Muhlbauer
Claimant Lawyers(s): Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael A. Brady
Arbitrator(s): Gerald Cohen, Jay R. Robinson, Wilburn E. Layman
Hearing Site: Memphis, TN
|  | $125,000 |
| 08-00910 | 03/11/2009 | Claimant(s): Melinda Oates, Philip Willingham
Claimant Lawyers(s): Keith L. Griffin
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Donald Milo Helton, Coleman Robert Perry, David Freeman
Hearing Site: Birmingham, AL
| | $187,215 |
| 08-02388 | 03/11/2009 | Claimant(s): Richard Siegel
Claimant Lawyers(s): Richard A. Siegel
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K Fair
Arbitrator(s): Douglas John Baumann
Hearing Site: Newark, NJ
| | Dismissed by Rule 12206 |
| 08-02728 | 03/11/2009 | Claimant(s): Robert Rabkin
Claimant Lawyers(s): Robert Rabkin
Respondent(s): Dieter Thurow
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Thomas C. McNally
Hearing Site: San Francisco, CA
| | $0 |
| 08-02735 | 03/11/2009 | Claimant(s): Dov Elfanbaum & Deborah Elfanbaum JTWROS
Claimant Lawyers(s): Dov Elfanbaum
Respondent(s): Caldwell International Securities
Respondent Lawyers(s): Lennie S. Freiman
Arbitrator(s): Brian J. Burstin
Hearing Site: New York, NY
| | $425 |
| 08-03259 | 03/11/2009 | Claimant(s): Boundles Enterprises
Claimant Lawyers(s): Solomon Henner
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
| | $0 |
| 08-00236 | 03/10/2009 | Claimant(s): Bruce Graves
Claimant Lawyers(s): Steele T. Williams
Respondent(s): A.G. Edwards & Sons., Robert Kahne
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Michael A. Lynch, William F. Glaser, Kenneth R. Starr
Hearing Site: Tampa, FL
| | $0 |
| 08-02712 | 03/10/2009 | Claimant(s): Matthew Pawlik
Claimant Lawyers(s): Matthew E Pawlik
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai Klaassen
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | $0 |
| 08-02520 | 03/09/2009 | Claimant(s): Options House.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Todd Mulliner, Crempsh.
Respondent Lawyers(s): Corporate Officer, Todd Mulliner
Arbitrator(s): I. Douglas Dunipace
Hearing Site: Salt Lake City, UT
| | $0 |
| 05-06249 | 03/09/2009 | Claimant(s): Kathy Turner, Estate of Olivia Frase
Claimant Lawyers(s): Kathy Turner
Respondent(s): John Carlson, John Turner, R. Wood, J.W. Cole Financial., Jonathan Roberts Financial Group.
Respondent Lawyers(s): Clifford J. Hunt, Norman B. Arnoff
Arbitrator(s): Sarah G. Anderson, William H. Malloy, Robert A. Ames
Hearing Site: Charlotte, NC
| | Expungement |
