09-01796 | 12/01/2010 | Claimant(s): Allen Graber, Bertram Barnett, Robert Yarbrough, Robert L. Cockroft and Kathy C. Cockroft, Bittjal Partners Claimant Lawyers(s): Robert A. Uhl Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Richard Szuch Arbitrator(s): Thomas L. Maschmeyer, P. Drake Mann, Yvonia A. Foster Hearing Site: Memphis, TN
| | $2,428,030 |
08-03212 | 05/11/2010 | Claimant(s): Bruce Spector, Ilene Abramson, Laurence Abramson, Michael Piuze, Abramson Living Trust UAS 4/1/02, The Spector Family Trust U/A/D 08/16/93 Claimant Lawyers(s): Robert A. Uhl Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Peter R. Boutin Arbitrator(s): Steven Gourley, Stephen B. Benton, Elliott Zachary Seff Hearing Site: Los Angeles, CA
| | $1,557,200 |
08-02695 | 04/20/2010 | Claimant(s): Gaedeke Holdings II, Ltd., Gaedeke Holdings III, Gaedeke Holdings Claimant Lawyers(s): Robert A. Uhl Respondent(s): Stifel, Nicolaus & Co.., Century Securities Associates. Respondent Lawyers(s): Carrie Bechtold Arbitrator(s): Jeff Abrams, Bill H. Brister, Rosemary Rachael Hearing Site: Dallas, TX
| | $0 |
08-02081 | 12/16/2009 | Claimant(s): John Yarbrough Claimant Lawyers(s): Robert A. Uhl Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Melanie L. Ronen Arbitrator(s): Kenneth E. Owen, David W. Casey, Karen J. Burneff Hearing Site: Los Angeles, CA
| | |
08-01841 | 11/11/2009 | Claimant(s): Hilda Applbaum, Isaac Applbaum, The Applbaum Family Trust UAD 6/1/93 Claimant Lawyers(s): Robert A. Uhl Respondent(s): Stone & Youngberg LLC Respondent Lawyers(s): Cara L. Finan Arbitrator(s): Nicholas J. Caputo, David R. Finch, Cheryl R. Kershner Hearing Site: San Francisco, CA
| | $0 |
07-03054 | 03/20/2009 | Claimant(s): Alan Beverly, Angela Soll, Audrey Schaefer, Carole Renfro, Clayton Beck, Darcie Fulkerson, Debbie Beverly, Gail Stoneburg, Jeff Bourne, John Brezden, Jonathan Fulkerson, Kathy Beck, Kevin Howard, Linda Gaffney, Maria Brezden, Mark Baker, Mark Gruidl, Mark Soll, Michael Schaefer, Rena Stathacopoulos, et al Claimant Lawyers(s): Robert A. Uhl Respondent(s): Jeffrey Forrest, Associated Securities Corp. Respondent Lawyers(s): G. Thomas Fleming Arbitrator(s): Robert J. Ruben, Mark S. Priver, Kenneth Miller Hearing Site: Los Angeles, CA
| | $8,858,600 |
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 |
07-01236 | 02/15/2008 | Claimant(s): John Wallis, John R. Wallis IRA Claimant Lawyers(s): Robert A. Uhl Respondent(s): CIBC World Markets Corp. Respondent Lawyers(s): LLoyd S. Clareman Arbitrator(s): William Edward Buck, Martin Samuel Altimore, Martin Epner Hearing Site: Houston, TX
| | Stipulated Award |
05-06272 | 02/04/2008 | Claimant(s): Sheila Whitcomb Claimant Lawyers(s): Robert A. Uhl Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Stephen Z. Frank, William Norton Hearing Site: Manchester, NH
| | Stipulated Award |
07-01003 | 01/18/2008 | Claimant(s): Estate of George C. Tomcik Claimant Lawyers(s): Robert A. Uhl Respondent(s): Commonwealth Financial Network Respondent Lawyers(s): Katherine B. Harrison Arbitrator(s): Carl Hohnbaum, Jared D. Simmer, Steven P. Franckhauser Hearing Site: Pittsburgh, PA
| | Stipulated Award |