| 10-03733 | 05/20/2011 | Claimant(s): Joan Grootemaat
Claimant Lawyers(s): Joan R. Grootemaat
Respondent(s): Corinne Moccia-Cunha, Citigroup Global Markets., Morgan Stanley, Owen Dugan
Respondent Lawyers(s): Harper Robinson
Arbitrator(s): James P. O'Donnell
Hearing Site: Milwaukee, WI
|  | $325 |
| 10-04307 | 05/20/2011 | Claimant(s): Watkins Brothers Trust
Claimant Lawyers(s): Robert Wayne McPherson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Thomas C. McNally
Hearing Site: Memphis, TN
| | $0 |
| 09-04453 | 05/19/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Steven Mandala
Respondent Lawyers(s): Steven Michael Mandala
Arbitrator(s): Anne Wickham Boyle, Michelle Jacobowitz Gallagher, Linda J. Baer
Hearing Site: New York, NY
| | $0 |
| 10-02651 | 05/19/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David Markun
Respondent(s): Robert Shigley
Respondent Lawyers(s): Robert P. Shigley
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | $0 |
| 10-05045 | 05/19/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Megan A. Smith
Respondent(s): Alma Alcoser
Respondent Lawyers(s): Freddy B. Ruiz
Arbitrator(s): Jeffrey R. Jury
Hearing Site: Houston, TX
| | $0 |
| 09-07121 | 05/19/2011 | Claimant(s): Joan Postell, The Estate of Robert Postell
Claimant Lawyers(s): William G. Leonard
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Daniel H. Kolber, Ilene T. Gormly, Fred J. Pinckney
Hearing Site: Atlanta, GA
| | $520,283 |
| 10-02460 | 05/19/2011 | Claimant(s): Harry Leete
Claimant Lawyers(s): Andrew O. Whiteman
Respondent(s): G. A. Repple & Company
Respondent Lawyers(s): William M. Rishoi
Arbitrator(s): Robert P. Porter, George Steven Moore, David Lawrence Rowe
Hearing Site: Raleigh, NC
| | $132,000 |
| 09-06544 | 05/18/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Daniel Miyamoto
Respondent Lawyers(s): Dan Miyamoto
Arbitrator(s): Thomas E. Maloney
Hearing Site: Baltimore, MD
| | $0 |
| 10-00008 | 05/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Cailin Heilig
Respondent(s): Eric Matheson
Respondent Lawyers(s): David N. Mair
Arbitrator(s): Gary W. Pollack, Marc T. Danon, Mark David Hunter
Hearing Site: Boca Raton, FL
| | $0 |
| 10-01650 | 05/18/2011 | Claimant(s): RBC Capital Markets LLC
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Cecil Creasy
Respondent Lawyers(s): J. Anthony Penry
Arbitrator(s): Peter B. Vaden, Fred Kelner, Dwayne Thomas McKinley
Hearing Site: Raleigh, NC
| | $0 |
