| 09-00578 | 09/28/2009 | Claimant(s): Robert S. Barnhill IRA
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John David Thomas
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
|  | $25,425 |
| 08-01475 | 09/25/2009 | Claimant(s): Carol Friedman
Claimant Lawyers(s): James J. Moylan
Respondent(s): Jordan Zaro, Riverside Securities., Terra Nova Financial
Respondent Lawyers(s): David F. Benson, Jordan P. Zaro, President
Arbitrator(s): Frederic M. Rizzo, Susanne J. Hollander, Robert P. Keno
Hearing Site: Chicago, IL
| | $251,361 |
| 08-01533 | 09/25/2009 | Claimant(s): Solaris Opportunity, L.P.
Claimant Lawyers(s): James E. Judge
Respondent(s): Phlip Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Thomas W. Craddock
Arbitrator(s): Stuart D. Summers, Philip J. Glick, Ralph O. Bolt
Hearing Site: Chicago, IL
| | $200,000 |
| 07-02841 | 09/25/2009 | Claimant(s): Anthony McPherron, Specialty Orthopedics.
Claimant Lawyers(s): Anthony A. McPherron
Respondent(s): Duane Doroh, Jay Jensen, Philip Bieghler, Investment Planners., Sammons Securities Company
Respondent Lawyers(s): Damian A. Laugher, Joanna J. Cline, Kenneth F. Berg, Martin Q. Ryan, Todd M. Jackett
Arbitrator(s): Peter Ordower, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
| | $0 |
| 09-01876 | 09/17/2009 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): R. Matthew Ingraham
Respondent(s): Robert Lieblang
Respondent Lawyers(s): Robert J. Lieblang
Arbitrator(s): Theodore W. Wrobleski
Hearing Site: Chicago, IL
| | $0 |
| 08-03443 | 09/17/2009 | Claimant(s): Jeffrey Kaufman
Claimant Lawyers(s): John S. Burke
Respondent(s): First Midwest Securities.
Respondent Lawyers(s): Kevin M. O'Hagan
Arbitrator(s): Donald M. Thompson, Michael I. White, Jerome Arthur Connolly
Hearing Site: Chicago, IL
| | $387,960 |
| 09-01617 | 09/02/2009 | Claimant(s): Sarah Maseth
Claimant Lawyers(s): Sarah A Maseth
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon B. Shneider
Hearing Site: Chicago, IL
| | $163 |
| 08-04913 | 08/06/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Robert Slowik
Respondent Lawyers(s): Robert J. Slowik
Arbitrator(s): Richard C. Moenning, A. Brad Busscher, Jack L. Karp
Hearing Site: Chicago, IL
| | |
| 08-02433 | 07/31/2009 | Claimant(s): Bevery Hills Bank & Trust Company, Wayne Hummer Investments LLC
Claimant Lawyers(s): Melvin G. Moseley
Respondent(s): Daniel Hack, Citigroup Global Markets., Mary Anderson, Marybeth Oconnor, Michelle Hughes, Patricia Marsh, Phillip Burno, Tracy Polselli
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Richard G Clemens, Joy Pava Shulruff, Rody P. Biggert
Hearing Site: Chicago, IL
| | Expungement |
| 09-00561 | 07/20/2009 | Claimant(s): Barbara Tutt
Claimant Lawyers(s): David M. Tutt
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Stuart M. Widman
Hearing Site: Chicago, IL
| | $9,613 |
