| 09-05394 | 06/30/2011 | Claimant(s): Ray Sherbert, MD and Kathryn J. Sherbert
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Christopher Wilson
Arbitrator(s): William F. Julavits, Michael E. Easterday, Walter J. Wylie
Hearing Site: Columbia, SC
|  | $179,409 |
| 10-01900 | 06/14/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Robert Isom
Respondent Lawyers(s): John S. Pringle, Jr.
Arbitrator(s): William H. Malloy
Hearing Site: Columbia, SC
| | |
| 10-04219 | 03/31/2011 | Claimant(s): Lamar Potts and Ann M. Potts
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Kenneth Hoffner
Hearing Site: Columbia, SC
| | $25,125 |
| 10-05050 | 03/07/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Isom
Respondent Lawyers(s): Robert C. Isom
Arbitrator(s): Peter B. Vaden
Hearing Site: Columbia, SC
| | |
| 08-03399 | 02/28/2011 | Claimant(s): Sandra Johnson
Claimant Lawyers(s): Sarah G. Anderson
Respondent(s): Andrew Sycoff, David Scaffe, Andrew Garrett Inc.
Respondent Lawyers(s): Barry M. Bordetsky, David Scaffe
Arbitrator(s): Donald G. Kennedy, Chase Boone Saunders, Robert M. Seward
Hearing Site: Columbia, SC
| | Stipulated Award and Expungement |
| 10-04611 | 02/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kenneth Lannigan
Respondent Lawyers(s): Kenneth Lee Lannigan
Arbitrator(s): Robert H. Putnam
Hearing Site: Columbia, SC
| | |
| 10-03429 | 02/11/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Nicole E. Stadelmaier
Respondent(s): Stephen Giella
Respondent Lawyers(s): Stephen Giella
Arbitrator(s): Deborah A. Jackson
Hearing Site: Columbia, SC
| | |
| 10-03734 | 01/28/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Michael Bell
Respondent Lawyers(s): Michael S. Bell
Arbitrator(s): Michael J. Ahlstrom
Hearing Site: Columbia, SC
| | |
| 09-03582 | 01/18/2011 | Claimant(s): Jason Schall
Claimant Lawyers(s): Mitchell Willoughby
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Menendez
Arbitrator(s): Glenn R. Oxner, Patricia Ann Tracey, Walter J. Wylie
Hearing Site: Columbia, SC
| | |
| 10-00553 | 12/03/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Harrison Blackwell
Respondent Lawyers(s): Harrison Blackwell
Arbitrator(s): Hugh J. Moore
Hearing Site: Columbia, SC
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