| 08-00364 | 01/30/2009 | Claimant(s): Jack Heller, Martin Hodas, Mitchell Domin
Claimant Lawyers(s): Jack Heller, Jonathan B. Butler, Martin Hodas
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Edward W. Larkin
Arbitrator(s): Monroe Mitchel, William E. Schneider, Doug Campbell
Hearing Site: Boca Raton, FL
|  | $0 |
| 08-01366 | 01/30/2009 | Claimant(s): David Mer
Claimant Lawyers(s): David Mer
Respondent(s): Daniel Bellino, Fred Cornett, Morgan Stanley & Co.
Respondent Lawyers(s): Doreen S. Young
Arbitrator(s): Bernard S. Carrey, William R. Alheim, Jeanne Charles Wood
Hearing Site: Boca Raton, FL
| | $525 |
| 08-02440 | 01/28/2009 | Claimant(s): Ann Hibner Koblitz, Neal Koblitz
Claimant Lawyers(s): Ann Hibner Koblitz, Neal Koblitz
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Christopher Wells
Arbitrator(s): William J. Bender
Hearing Site: Seattle, WA
| | $3,425 |
| 08-00661 | 01/27/2009 | Claimant(s): Kraemer Diel
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Robert C. Upton, Earle Park Kelley, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
| | $15,000 |
| 06-02419 | 01/27/2009 | Claimant(s): Lucile D. Wulff Trust Account
Claimant Lawyers(s): Francine Falcier Antell
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Nancy Gray, Ted Candella
Respondent Lawyers(s): Katherine M. McGrail
Arbitrator(s): William H. Morley, Joseph H. Cerame, Joseph La Rosa
Hearing Site: New York, NY
| | $0 |
| 08-01799 | 01/27/2009 | Claimant(s): Alice Perdue
Claimant Lawyers(s): Alice Perdue
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Lori Ann Romeo
Hearing Site: New York, NY
| | $0 |
| 08-02987 | 01/26/2009 | Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Karma Mulliner
Respondent Lawyers(s): Karma Mulliner
Arbitrator(s): Richard L. Merkel
Hearing Site: Salt Lake City, UT
| | $0 |
| 04-05904 | 01/26/2009 | Claimant(s): Timothy I. & Deborah Montreuil TIC
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Kurt D. Steiner
Hearing Site: New Orleans, LA
| | $7,943 |
| 05-05474 | 01/23/2009 | Claimant(s): John Carpenter
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Royal Alliance Associates., Steven Muntin
Respondent Lawyers(s): Gary M. Saretsky
Arbitrator(s): George H. Zinn, Burton L. Ansell
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
| 07-02901 | 01/23/2009 | Claimant(s): Kenneth Chyten
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Dennis Devaney, United Capital Markets.
Respondent Lawyers(s): Joseph E. Floren
Arbitrator(s): Kenneth I. Rosenblum, Edward J. Costello, Laurent C. Vonderweidt
Hearing Site: Los Angeles, CA
| | Expungement |
