| 10-00950 | 10/13/2011 | Claimant(s): OC Partners Inc.
Claimant Lawyers(s): Robert Paul Travis
Respondent(s): David Tucker, RBC Dain Rauscher.
Respondent Lawyers(s): Abe Lampart
Arbitrator(s): Helen Marinak Blohm, Alexander L. Mazour, Mark R. Topper
Hearing Site: San Francisco, CA
|  | $0 |
| 09-03598 | 10/07/2011 | Claimant(s): Aurum STS Aggressive Trading LLC
Claimant Lawyers(s): Jonathan Harris
Respondent(s): Atef Eltoukhy, Cowen Group., SG Americas Securities, Societe Generale, Societe Generale Warrants Limited N.V.
Respondent Lawyers(s): David M. Brodsky, Jeff G. Hammel, John C. Molluzzo, Michael C. Miller, Paul Serritella
Arbitrator(s): Darryl J. Horowitt, Mark R. Topper, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | $59,900,000 |
| 10-05028 | 09/30/2011 | Claimant(s): William Dale Kelly and Joan Hull Trust
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Lawrence Miller, Investment Security Corporation
Respondent Lawyers(s): Lawrence Benjamin Miller, Lee David Lubin
Arbitrator(s): Ferdinand Schoch, Gary S. DeWeese, Richard Ullman
Hearing Site: San Francisco, CA
| | $0 |
| 10-02592 | 09/27/2011 | Claimant(s): June Shore, June F. Shore IRA FBO June F. Shore, The June F. Shore Living Trust
Claimant Lawyers(s): Thomas M. Campbell
Respondent(s): Gary Gardner, Life Wealth Advisors.
Respondent Lawyers(s): Alan W. Sparer, Kevin H. Lewis
Arbitrator(s): William Ziering, Thomas C. McNally, John B. Weingart
Hearing Site: San Francisco, CA
| | Stipulated Award |
| 11-00280 | 09/27/2011 | Claimant(s): Robert Blakey
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shea O'Brien Hicks
Arbitrator(s): Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $213 |
| 10-04186 | 09/16/2011 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Glenn Holbert
Respondent Lawyers(s): Glenn Edward Holbert
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 09-03867 | 09/06/2011 | Claimant(s): Patricia Neel
Claimant Lawyers(s): George S. Trevor
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona
Arbitrator(s): Richard L. Rubin, Juleanne A. Thiebaut, Mark R. Topper
Hearing Site: San Francisco, CA
| | $0 |
| 10-01624 | 08/31/2011 | Claimant(s): Bryce Jones, Sevi Jones, Jones Family Trust
Claimant Lawyers(s): S. Brett Sutton
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Nicholas J. Caputo, Linda M. McCoy, Christopher J. Hadsell
Hearing Site: San Francisco, CA
| | Expungement |
| 10-01847 | 08/26/2011 | Claimant(s): George Putnam
Claimant Lawyers(s): Justin T. Berger
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Frank R Weaver, Michael J. Fish, Kevin C. Coleman
Hearing Site: San Francisco, CA
| | $127,944 |
| 11-00222 | 08/16/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Christopher S. Griesmeyer
Respondent(s): Gary Brown
Respondent Lawyers(s): Gary J. Brown
Arbitrator(s): Harry B. Endsley
Hearing Site: San Francisco, CA
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