| 09-05944 | 10/13/2011 | Claimant(s): Ingeborg Eaves
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Nuviah Shirazi
Arbitrator(s): George G. Kurschner
Hearing Site: Boca Raton, FL
|  | Expungement |
| 10-01670 | 09/21/2011 | Claimant(s): Jay Knapp, Reva Knapp, The Knapp Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): James Stark, UBS Financial Services Inc.
Respondent Lawyers(s): Armand Salese, Payne L. Templeton
Arbitrator(s): Katherine M. Harmeyer, James T. Sinyard, Nicholas Jason Enoch
Hearing Site: Phoenix, AZ
| | Expungement |
| 10-02412 | 07/13/2011 | Claimant(s): Alburnie Wright
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Bart Kaplow, Bobby Myerson
Respondent Lawyers(s): Bobby Fredrick Myerson, Jane M. Shields
Arbitrator(s): Margaret Mary Crumley, Robert W. Ratti, Edward F. Koren
Hearing Site: Philadelphia, PA
| | $300 |
| 09-04933 | 03/31/2011 | Claimant(s): Barbara Cook, Barbara Bush Cook Living Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): James C. Browning
Arbitrator(s): John N. Reidy, David B. Lacks, Joan M. Esserman
Hearing Site: St. Louis, MO
| | $42,675 |
| 10-01528 | 03/31/2011 | Claimant(s): Kay Red Horse, Charitable Rem Trust of Kay F. Red Horse, Kay F. Red Horse Revocable Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Clinton J. Simpson
Arbitrator(s): Katherine M. Harmeyer, Daniel M. Yamshon, Karen J. Zvonecek
Hearing Site: Nashville, TN
| | $225,175 |
| 09-05485 | 03/29/2011 | Claimant(s): Turbo Investors
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Robert Jaffe
Respondent Lawyers(s): Harvey E. Bines
Arbitrator(s): John R. Thompson, Stephen M. Acerra, Nancy E. Watters
Hearing Site: Boston, MA
| | $1,105,000 |
| 09-04732 | 03/08/2011 | Claimant(s): Damon Reel
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Bruce W. Day
Arbitrator(s): Phyllis Karasov, Julie A. Hennen, Frederick Ramos
Hearing Site: Rapid City, SD
| | Expungement |
| 09-05240 | 11/23/2010 | Claimant(s): Gerald Fogelman and Raie Fogelman
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): American Portfolios Financial
Respondent Lawyers(s): Joel Wertman
Arbitrator(s): Edward F. Koren, Walter R. Milbourne, Robert Alan Mayer
Hearing Site: Philadelphia, PA
| | $0 |
| 09-05253 | 10/11/2010 | Claimant(s): The Estate of Lawrence D. Burns
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Mid-Ohio Securities Corp
Respondent Lawyers(s): Kenneth A. Bravo
Arbitrator(s): Steven K. Lum, Gregory B. Wood, Dee Newell
Hearing Site: Las Vegas, NV
| | $280,684 |
| 09-01388 | 05/24/2010 | Claimant(s): James Taylor, Peggy Taylor
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Phillip Lee Scheldt, Catherine M. Norman, Brian D. Esenwein, JD, CPA
Hearing Site: Dallas, TX
| | $131,000 |
