| 09-05535 | 02/22/2011 | Claimant(s): Maria Thornton
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill
Hearing Site: Tampa, FL
|  | $25,200 |
| 09-02239 | 11/16/2010 | Claimant(s): Aldrich Fernandez
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William M. Turner
Arbitrator(s): Judith A. Gust, Robert John Wagener, E. Milton Frosburg
Hearing Site: San Diego, CA
| | $0 |
| 09-05044 | 10/08/2010 | Claimant(s): Alan Biren, John Tucker
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): John K. Wells
Arbitrator(s): Kelly M. Lonergan, Patrick W. McKeon, John J. Kenny
Hearing Site: Boston, MA
| | $1,085,600 |
| 09-00993 | 04/22/2010 | Claimant(s): The Alan B. White Trust
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): ITradeDirect.com Corporation
Respondent Lawyers(s): Eric Arlt
Arbitrator(s): James B. Vessey, George J. Karlsven, Russell K. Cannon
Hearing Site: Salt Lake City, UT
| | $529,470 |
| 08-04418 | 03/09/2010 | Claimant(s): Charles Osterman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Lehman W. Williams, Merton E. Marks, Loren Scott Buell
Hearing Site: Phoenix, AZ
| | $309,320 |
| 06-01762 | 11/24/2009 | Claimant(s): Dan Wittman
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Michael L. Lyons, Robert J. Beck, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $75,300 |
| 07-02062 | 08/05/2009 | Claimant(s): Glen Stone, Sandra Stone
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
| | $0 |
| 05-05872 | 06/04/2009 | Claimant(s): Lloyd and Edith Kippley
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Emanuel V. Gumina, James R. Schoenike, William B. Ross
Hearing Site: Milwaukee, WI
| | $134,504 |
| 06-02307 | 10/15/2008 | Claimant(s): Robert J. and Betty J. Treat
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): 1717 Capital Management Company
Respondent Lawyers(s): Natalie T. Furniss
Arbitrator(s): Mark D. Sadow, John R. Loss, Jeffrey Caleb Etter
Hearing Site: St. Louis, MO
| | $99,295 |
| 06-01679 | 08/20/2008 | Claimant(s): Robert Montanino
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Richard L. Herzfeld, Donald Raymond McNally, Mary Noe
Hearing Site: New York, NY
| | $40,000 |
