| 10-02831 | 05/13/2011 | Claimant(s): Richard Schreiber, Richard E. Schreiber IRA, Richard E. Schreiber Retirement Trust
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management, In, The Charles Schwab Corporation
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): David J. Anderson, Annette Gres Shepherd, Daniel R. Brush
Hearing Site: Los Angeles, CA
|  | $0 |
| 10-03122 | 05/13/2011 | Claimant(s): Michael D. Fulda, Michael Fulda & Rivka Fulda Ten Ent
Claimant Lawyers(s): Michael D. Fulda
Respondent(s): Avi Greenlinger, Avigail Rosemore, Morgan Stanley
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): N. Clark Moran, Richard E. Lauziere, John H Adair
Hearing Site: Baltimore, MD
| | $0 |
| 10-01111 | 05/11/2011 | Claimant(s): Charles Raney
Claimant Lawyers(s): Curtis Carlson
Respondent(s): SunTrust Robinson Humphrey.
Respondent Lawyers(s): Frederick S. Schrils
Arbitrator(s): Richard J. Fuller, Greg Knight, Raymond E. Cornelius
Hearing Site: Orlando, FL
| | $0 |
| 09-07122 | 05/11/2011 | Claimant(s): Gray Ingram
Claimant Lawyers(s): Scott J. Link
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Marc T. Danon, Michael D Felton, Philip L. Manczak
Hearing Site: Boca Raton, FL
| | $600 |
| 08-03790 | 05/10/2011 | Claimant(s): Charles Churchill
Claimant Lawyers(s): Richard J. Braun
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth W. DiGia
Arbitrator(s): Walter M. Schackman, Francis Carling, David R. Foley
Hearing Site: New York, NY
| | $0 |
| 10-00550 | 05/10/2011 | Claimant(s): Ameriprise Advisor Services., Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Alfred Keyser
Respondent Lawyers(s): Alfred Keyser
Arbitrator(s): John A. Gray, Stephanie Jean Malevich, Gerald B. Marcovsky
Hearing Site: Washington, DC
| | $0 |
| 10-01020 | 05/10/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Robert Durham, William Cashman
Respondent Lawyers(s): Jacqueline Jackson-DeGarcia, Jason G. Benion
Arbitrator(s): Paul J. Greco, James T. McLaughlin, Mark H. Stein
Hearing Site: Philadelphia, PA
| | $0 |
| 10-04198 | 05/10/2011 | Claimant(s): Primary Capital
Claimant Lawyers(s): Gregory P. Vidler
Respondent(s): Richard Dorsi
Respondent Lawyers(s): Carol Witschel
Arbitrator(s): Kenneth M. Felder
Hearing Site: New York, NY
| | $0 |
| 09-05174 | 05/10/2011 | Claimant(s): Gary Sperber
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Harry Friedman, Lawrence Foont, Lawrence Kirshbaum, Prestige Financial Center.
Respondent Lawyers(s): Lawrence Gary Kirshbaum, Lawrence Foont, Michael P. Gilmore
Arbitrator(s): David H. S. Commins, David R. Finch, William W. Haskell
Hearing Site: San Francisco, CA
| | $1,800,250 |
| 10-02162 | 05/10/2011 | Claimant(s): Hurshel & Mildred Tyler
Claimant Lawyers(s): Tracy Stoneman
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin K. Linehan
Arbitrator(s): Roland D. Freeman, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
| | $1,497,060 |
