| 10-02527 | 06/11/2012 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin Goldberg
Respondent(s): George Sinanis
Respondent Lawyers(s): Gregory J. Sherwin
Arbitrator(s): Gerald C. Tambe, Mary Margaret Bush, Thomas R. Watkins
Hearing Site: Los Angeles, CA
| | |
| 11-01249 | 05/01/2012 | Claimant(s): William Garvey
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Mark Powell, Lighthouse Capital Corporation
Respondent Lawyers(s): Jonathan Schwartz, Robert John Zamecki
Arbitrator(s): William Ziering, Mary Margaret Bush, Stewart H. Foreman
Hearing Site: San Francisco, CA
|  | $100,000 |
| 10-03381 | 01/19/2012 | Claimant(s): Todd Klumok, Ted Raker and Doris B. Raker
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Thomas H. O'Connor, Mary Margaret Bush, Arocles Aguilar
Hearing Site: Atlanta, GA
| | $66,174 |
| 10-04030 | 11/21/2011 | Claimant(s): Jeanne Smiley
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Mary Margaret Bush
Hearing Site: Atlanta, GA
| | $10,366 |
| 11-01551 | 11/10/2011 | Claimant(s): Eileen B. Cohen and Allen A. Cohen JTWRO
Claimant Lawyers(s): Marvin T. Bornstein
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Mary Margaret Bush
Hearing Site: Reno, NV
| | $12,617 |
| 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
| | |
| 10-04538 | 08/18/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Yana Kromo
Respondent(s): Walter Katai
Respondent Lawyers(s): Walter Michael Katai
Arbitrator(s): Mary Margaret Bush
Hearing Site: Reno, NV
| | |
| 10-04813 | 07/15/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Thomas Debono
Respondent Lawyers(s): Thomas J. Debono
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 10-02387 | 03/30/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Bradley Gardner
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 09-02736 | 12/30/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Allan N. Taffet
Respondent(s): Enable Capital Management, Jefferies & Company., Enable Growth Partners
Respondent Lawyers(s): Alyson M. Weiss, Michael J. Baker
Arbitrator(s): Jonathan H. Krotinger, Mary Margaret Bush, Mary Kay Higgins Crockett
Hearing Site: San Francisco, CA
| | $0 |
