| 09-00364 | 11/09/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Joseph B. Alonso
Respondent(s): Betsy Perryman, Matthew Marcom
Respondent Lawyers(s): Royal Lea
Arbitrator(s): Jerry C. Prestridge, Richard F. Dole, Charles A. Bankston
Hearing Site: Houston, TX
| | |
| 09-00846 | 10/29/2010 | Claimant(s): Ratree Luesiri, William Morehead
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Wachovia Securities, Donald Elster, John Caram, Marco Lloyd
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Selenne Calhamer, Michael S. Wilk, Mary Esther Escobedo
Hearing Site: Houston, TX
|  | $0 |
| 09-00683 | 10/05/2010 | Claimant(s): Carolyn Howard, Charles Ryrie, Christy Dauphin, David Dauphin, Edgar Smith, Elizabeth Anthony, Henry Hamman, J. Harris, John Garrett, Nan Garrett, Vance Miller, William Goodwin, HSMCO., The Ryrie Foundation, Claire Hannah Howard Trust, Henry S. Miller 1989-1 Irrevocable Tr, Matthew John Anthony Trust, Steven Charles Anthony Trust
Claimant Lawyers(s): Paul J. Dobrowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stephen C. Carlin
Arbitrator(s): Gary D. Danna, Oren L. Connaway, Stacey L. Barnes
Hearing Site: Houston, TX
| | $9,185,340 |
| 09-03119 | 09/27/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. MacAvoy
Respondent(s): Andrea Smith
Respondent Lawyers(s): Steven C. Earl
Arbitrator(s): Eli Bensky, Joshua D. Wallach, Ross D. Friend
Hearing Site: Houston, TX
| | |
| 10-00517 | 09/14/2010 | Claimant(s): Brian Siulinski
Claimant Lawyers(s): Brian W. Siulinski
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Donald K. Eckhardt
Hearing Site: Houston, TX
| | $11,222 |
| 09-03366 | 09/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Angela Roark
Respondent Lawyers(s): Angela M. Roark
Arbitrator(s): Bertrand C. Moser, Arno C. Schwethelm, Marjorie C. Johnson
Hearing Site: Houston, TX
| | |
| 09-02834 | 08/31/2010 | Claimant(s): Joyce Glynn
Claimant Lawyers(s): Joyce B. Glynn
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Cassandra Knight
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
| | $0 |
| 10-01420 | 08/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Sherrey Harper
Respondent Lawyers(s): Sherrey A. Harper
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
| | |
| 09-04585 | 07/30/2010 | Claimant(s): Benjamin Mathis, Harold Mathis
Claimant Lawyers(s): Benjamin Mathis, Harold Mathis
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Donald K. Eckhardt, Arno C. Schwethelm, William A. Wilson
Hearing Site: Houston, TX
| | $25,000 |
| 09-02644 | 07/23/2010 | Claimant(s): Michael Jamail
Claimant Lawyers(s): George Michael Jamail
Respondent(s): Byron Meads, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ellen B. Sessions
Arbitrator(s): Kathy R. Holler, Sherry R. Wetsch, Brian James Tagtmeier
Hearing Site: Houston, TX
| | $0 |
