| 10-04969 | 04/19/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Matthew Schurter
Respondent(s): Jessica Winczner
Respondent Lawyers(s): Jessica T. Winczner
Arbitrator(s): Jack Friedman
Hearing Site: New York, NY
| | $0 |
| 09-03912 | 04/19/2011 | Claimant(s): John Hogge
Claimant Lawyers(s): Mark Cohen
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Will S. Montgomery
Arbitrator(s): James G. Cooper, George A. Sellnau, Philip I. McConnell
Hearing Site: Houston, TX
|  | $0 |
| 09-06055 | 04/19/2011 | Claimant(s): Gary Hillert
Claimant Lawyers(s): Scott L. Silver
Respondent(s): The GMS Group
Respondent Lawyers(s): John E. Jenkins
Arbitrator(s): Frances D. Sheehy, John H. Claudy, Theodore Israel Herold
Hearing Site: Boca Raton, FL
| | $0 |
| 10-00328 | 04/19/2011 | Claimant(s): World-Wide Sports Promotion, Ltd
Claimant Lawyers(s): Steven Michael Schwartz
Respondent(s): Ameriprise Financial Services., Jared Cohen
Respondent Lawyers(s): Edward A. Walton
Arbitrator(s): Cheryl H. Agris
Hearing Site: New York, NY
| | $0 |
| 10-03995 | 04/19/2011 | Claimant(s): Gates Family Trust
Claimant Lawyers(s): Griffith G. Gates
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Eric M. Morris
Arbitrator(s): Preston A. Trimble
Hearing Site: Wichita, KS
| | $0 |
| 10-01016 | 04/18/2011 | Claimant(s): Richard Turnbull
Claimant Lawyers(s): Laurence S. Moy
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Lloyd S. Clareman
Arbitrator(s): Michael Ross, Peter P. Skomorowsky, Lynne M. Reid-McQueen
Hearing Site: New York, NY
| | $0 |
| 10-04911 | 04/18/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Daniel Crotta
Respondent Lawyers(s): Daniel William Crotta
Arbitrator(s): James D. Knotter
Hearing Site: San Diego, CA
| | $0 |
| 09-06647 | 04/18/2011 | Claimant(s): Edward Gilbert, Laurie Knapp, Robin Thomas, Rosemary Gilbert, The Edward S. Gilbert Jr. IRA, The Laurie Knapp IRA, The Rosemary M. Gilbert IRA, Gilbert Revocable Trust dtd 12/20/2000, The Robin Gayle Wood Revocable Trust
Claimant Lawyers(s): Laurie Knapp, Robin Thomas, Rosemary Gilbert
Respondent(s): Charles DeLao, Douglas Schriner, Stephen Hrynik, Harrison Douglas.
Respondent Lawyers(s): Charles E. DeLao, Douglas W. Schriner, Stephen J. Hrynik
Arbitrator(s): Grace L. Heyne, Benjamin F. Breslauer, Norman Cousins Sasamori
Hearing Site: Los Angeles, CA
| | $200,600 |
| 10-00083 | 04/18/2011 | Claimant(s): David Harvey, Sharon Harvey, The Harvey Family Trust dtd 08/30/06
Claimant Lawyers(s): Geoffrey O. Evers
Respondent(s): Wells Fargo Investments, Matthew Medeiros
Respondent Lawyers(s): Kasumi Takahashi
Arbitrator(s): Walter P. Hitchcock, Herb Schwartz, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $0 |
| 10-02562 | 04/18/2011 | Claimant(s): Jerome Schwartz
Claimant Lawyers(s): Raymond E. White
Respondent(s): David Hayden, Nelsonreid.
Respondent Lawyers(s): K. Scott Brazil
Arbitrator(s): Morris Rubin, Thomas D. Nagle, William Edward Buck
Hearing Site: Houston, TX
| | $110,000 |
