| 09-07148 | 04/12/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Yana Kromo
Respondent(s): Ted Rovet
Respondent Lawyers(s): Frederick W. Rovet
Arbitrator(s): David I. Goldblatt
Hearing Site: Newark, NJ
| | $0 |
| 10-00735 | 04/12/2011 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): John W. Stenson
Respondent(s): Tyrone Tabak
Respondent Lawyers(s): Tyrone B. Tabak
Arbitrator(s): Howard R. Gaines, Dee Newell, Harvey M. Baraban
Hearing Site: Las Vegas, NV
| | $0 |
| 10-02052 | 04/12/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Greg Harmon
Respondent Lawyers(s): Greg W. Harmon
Arbitrator(s): Nicholas John Taldone
Hearing Site: Orlando, FL
| | $0 |
| 10-03926 | 04/12/2011 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): Jeffrey K. Compton
Respondent(s): Michael Lingner
Respondent Lawyers(s): Michael John Lingner
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | $0 |
| 10-04701 | 04/12/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Robert Nethery
Respondent Lawyers(s): Robert Curtis Nethery
Arbitrator(s): Andrea U. Calve
Hearing Site: Dallas, TX
| | $0 |
| 09-06677 | 04/12/2011 | Claimant(s): Lisa Cordaro, Robert Cordaro
Claimant Lawyers(s): Irwin Stein
Respondent(s): Forrest Templeton, United Securities Alliance.
Respondent Lawyers(s): Forrest D. Templeton, Michael Washington Jones
Arbitrator(s): George W. Harding, Donald N. Tolin, William J. Kenna
Hearing Site: Albuquerque, NM
|  | $500,000 |
| 09-06918 | 04/12/2011 | Claimant(s): Leiter Family Trust
Claimant Lawyers(s): Stuart Meissner
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Daniel R. Korb
Arbitrator(s): Guy K. Stewart, Myron E. Levenson, Dennis J. Levin
Hearing Site: Boca Raton, FL
| | $2,388,230 |
| 10-01721 | 04/12/2011 | Claimant(s): Erick Berglund
Claimant Lawyers(s): David Gibbs
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Manchester, NH
| | $0 |
| 09-03306 | 04/12/2011 | Claimant(s): Henry Ostberg
Claimant Lawyers(s): Herb Deutsch
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Walter C. Parrish, Kenneth J. Horowitz, Daniel A. Pinkus
Hearing Site: Newark, NJ
| | $0 |
| 10-01654 | 04/11/2011 | Claimant(s): James Mosher
Claimant Lawyers(s): James M. Mosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathleen M. McDowell
Arbitrator(s): David J. Anderson, Kenneth E. Owen, Randall N. Kirk
Hearing Site: Los Angeles, CA
| | $0 |
