| 09-02570 | 05/20/2010 | Claimant(s): Sue Lane
Claimant Lawyers(s): Milton H. Fried
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): David G. Beerbower, George A. Sellnau, Dale A. Hearn
Hearing Site: Houston, TX
|  | $0 |
| 09-04483 | 05/17/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Arroyos
Respondent Lawyers(s): Michael D. Arroyos
Arbitrator(s): Eli Bensky
Hearing Site: Houston, TX
| | |
| 09-05683 | 04/23/2010 | Claimant(s): Sukmanee Lin
Claimant Lawyers(s): Lionel Lin
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): David C. Redford
Hearing Site: Houston, TX
| | $7,601 |
| 09-04164 | 04/19/2010 | Claimant(s): Laura Loudamy
Claimant Lawyers(s): Laura Loudamy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | $6,475 |
| 08-02032 | 04/07/2010 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Kevin Mathis
Respondent Lawyers(s): Kevin Mathis
Arbitrator(s): John Michael Watson, Daniel J. Pagnano, Juanita D. McKethan
Hearing Site: Houston, TX
| | |
| 08-04703 | 04/01/2010 | Claimant(s): Terry Green
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Paul D. Flack
Arbitrator(s): John K. Boyce, Charles E. Munson, Byron G. Hannah
Hearing Site: Houston, TX
| | $0 |
| 09-05973 | 03/31/2010 | Claimant(s): David G. Steakley and Paula B. Steakley
Claimant Lawyers(s): David G. Steakley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert Matthews
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 08-04027 | 03/29/2010 | Claimant(s): Arun Verma, Karuna Verma, Makan Limited Partnership
Claimant Lawyers(s): C. Mark Stratton
Respondent(s): Wachovia Securities, John Montfort, A.G. Edwards & Sons.
Respondent Lawyers(s): Daniel Kirshbaum, Jack C. Ballard
Arbitrator(s): Thomas D. Nagle, Dale A. Hearn, Charles S. Chester
Hearing Site: Houston, TX
| | $82,837 |
| 09-01745 | 03/26/2010 | Claimant(s): Christine L.Lane, as Bene of the
Claimant Lawyers(s): Mark C. Watler
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Braden O. Wilhelm
Arbitrator(s): George A. Sellnau, Steven M. Ruderman, Michele N. O'Brien
Hearing Site: Houston, TX
| | $0 |
| 08-02457 | 03/09/2010 | Claimant(s): Estate of Juan Roberto Brittingham-McLea
Claimant Lawyers(s): Lance H. "Luke" Beshara
Respondent(s): Gerardo Chapa, Ricardo Perusquia, Robert Benjamin, Global Financial Services, L.L.C.
Respondent Lawyers(s): Adam P. Schiffer, Bruce M. Bettigole
Arbitrator(s): Martha Failing, Charles E. Martin, William R. Jonson
Hearing Site: Houston, TX
| | $370,000 |
