| 09-03074 | 12/23/2010 | Claimant(s): Michael Maher
Claimant Lawyers(s): Patrick Zummo
Respondent(s): John Bentley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Judith A. Meyer
Arbitrator(s): Kathy R. Holler, Thomas D. Nagle, Larry J. Craddock
Hearing Site: Houston, TX
|  | $0 |
| 10-00987 | 12/20/2010 | Claimant(s): Marianne Iamele
Claimant Lawyers(s): Merritt N. Spencer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Richard F. Dole, Maurice J. Fallas, Danielle L. Hargrove
Hearing Site: Houston, TX
| | $65,686 |
| 08-03844 | 12/16/2010 | Claimant(s): Gary Siller, Heather Hietpas, Juanita Malone Cooper, Lauren Thompson, Leslie Siller, Michael Thompson, Thomas Thompson, Valerie Thompson
Claimant Lawyers(s): Roger B. Greenberg
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Juanita D. McKethan, Marjorie C. Johnson
Hearing Site: Houston, TX
| | $0 |
| 09-04485 | 12/08/2010 | Claimant(s): Beverly Ginn, Russell Ginn, CVWT, LLP, Ginnwey Investments
Claimant Lawyers(s): Timothy M. McDaniel
Respondent(s): Alliance Bernstein, Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Raymond C. Kerr, Joshua D. Wallach, Deirdre Renee Fuller
Hearing Site: Houston, TX
| | $200,000 |
| 09-05472 | 12/02/2010 | Claimant(s): Mary McIntire, Thomas Grant
Claimant Lawyers(s): Eliot D. Shavin
Respondent(s): John Sprague, AFS Brokerage., Evolve Securities., First Midamerica Investment Corporation, Sprague Captial Management Group
Respondent Lawyers(s): David A. Calhoun, Douglas Hemke, Kenneth Shade, CCO, Patrick Lanier, Phillips A. Danks
Arbitrator(s): Linda Broocks, William S. Hopkins, Michael S. Wilk
Hearing Site: Houston, TX
| | $261,300 |
| 09-05478 | 11/22/2010 | Claimant(s): Sean Cusak
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James G. Cooper, Reginald Harris Brockwell, Martin Samuel Altimore
Hearing Site: Houston, TX
| | |
| 09-06300 | 11/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Amy M. Fritsky
Respondent(s): Oscar Penn
Respondent Lawyers(s): Oscar Penn
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Houston, TX
| | |
| 09-04204 | 11/16/2010 | Claimant(s): George Allibone, June Allibone, Allibone Family Ltd. Partnership
Claimant Lawyers(s): Ernest W. Boyd
Respondent(s): Wachovia Securities, Joseph Klages, Nolan Caldwell, A.G. Edwards & Sons., Wells Fargo Advisors
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): Philip I. McConnell, Howard J. Siegel, Ross D. Friend
Hearing Site: Houston, TX
| | $0 |
| 09-06311 | 11/15/2010 | Claimant(s): Homer Martin
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Riverstone Wealth Mangement.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Ross D. Friend, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | $512,101 |
| 10-01257 | 11/11/2010 | Claimant(s): R. Walters, R. Corey Walters Investments
Claimant Lawyers(s): R. Corey Walters
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Tomas F. Kopshever
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
