| 10-03974 | 08/23/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Brian R. Mills
Respondent(s): William Griffin
Respondent Lawyers(s): R. Hal Meeks
Arbitrator(s): Robert H. Putnam, Patrick L. Bellantoni, Andy W. Morgan
Hearing Site: Atlanta, GA
| | |
| 10-02653 | 08/18/2011 | Claimant(s): Larry Merritt
Claimant Lawyers(s): Regina S. Molden
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Edward B. Magarian
Arbitrator(s): Franklin Raymond McIntyre, John F. Allgood, John F. O'Neill
Hearing Site: Atlanta, GA
| | |
| 09-02095 | 07/29/2011 | Claimant(s): Braden Partners, L.P., Elsa Gaze Braden Trust, Grant Braden Education Trust
Claimant Lawyers(s): Gerald B. Kline
Respondent(s): Joshua Krentzman, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Portera
Arbitrator(s): Michael J. Stern, Anne H. Orr, George Harrison Lemmond
Hearing Site: Atlanta, GA
|  | $0 |
| 11-00488 | 07/22/2011 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): David Bayer
Respondent Lawyers(s): David R. Bayer
Arbitrator(s): Irving M. Shlesinger
Hearing Site: Atlanta, GA
| | |
| 10-05147 | 06/20/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Keith Anderson
Respondent Lawyers(s): Keith G. Anderson
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
| | |
| 10-03819 | 06/15/2011 | Claimant(s): B. Williams
Claimant Lawyers(s): Matthew M. Wilkins
Respondent(s): Roger Shaffer, SunTrust Investment Services.
Respondent Lawyers(s): Peter A. Jacxsens
Arbitrator(s): Kenneth I. Daniels, John F. O'Neill, Jerome Jack Shure
Hearing Site: Atlanta, GA
| | Stipulated Award and Expungement |
| 09-07226 | 05/31/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): Kenneth Walters
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Judith Stilz Ogden, Harvey R. Linder, William Clay Gilbert
Hearing Site: Atlanta, GA
| | |
| 09-07121 | 05/19/2011 | Claimant(s): Joan Postell, The Estate of Robert Postell
Claimant Lawyers(s): William G. Leonard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Daniel H. Kolber, Ilene T. Gormly, Fred J. Pinckney
Hearing Site: Atlanta, GA
| | $520,283 |
| 10-03177 | 05/09/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): David Baum
Respondent Lawyers(s): John H. Peavy
Arbitrator(s): Frank W. Virgin, Cheryl A. Hooks, John F. O'Neill
Hearing Site: Atlanta, GA
| | |
| 09-07229 | 04/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Jordan D. Weinreich
Respondent(s): David Pressly
Respondent Lawyers(s): David Pressly
Arbitrator(s): David M. Snyder, Karla Y. Vogel, Reid P. Conklin
Hearing Site: Atlanta, GA
| | |
