| 09-05961 | 03/31/2011 | Claimant(s): MBO Insurance Brokers. PSP
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne M. Moriarty
Arbitrator(s): James D. Murray, Jonathan H. Krotinger, Michael Craig Butterworth
Hearing Site: San Francisco, CA
|  | $0 |
| 09-07161 | 03/31/2011 | Claimant(s): Mary Brandin, Mary Elliott Brandin Trust
Claimant Lawyers(s): John A. Klobasa
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Tara A. LaClair
Arbitrator(s): Marilyn T. Selby, Robert J. Bohle, David B. Lacks
Hearing Site: St. Louis, MO
| | $470,500 |
| 10-01528 | 03/31/2011 | Claimant(s): Kay Red Horse, Charitable Rem Trust of Kay F. Red Horse, Kay F. Red Horse Revocable Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Clinton J. Simpson
Arbitrator(s): Katherine M. Harmeyer, Daniel M. Yamshon, Karen J. Zvonecek
Hearing Site: Nashville, TN
| | $225,175 |
| 10-04219 | 03/31/2011 | Claimant(s): Lamar Potts and Ann M. Potts
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Curt R. Soefker
Arbitrator(s): Kenneth Hoffner
Hearing Site: Columbia, SC
| | $25,125 |
| 09-01787 | 03/31/2011 | Claimant(s): Daniel Farash
Claimant Lawyers(s): Louis F. Burke
Respondent(s): UBS Financial Services Inc., Steven Feit
Respondent Lawyers(s): David I. Hantman
Arbitrator(s): J. Martin McDonough, Marguerite B. Filson, Frank Irizarry
Hearing Site: New York, NY
| | $0 |
| 10-04165 | 03/31/2011 | Claimant(s): Georgann Bradford, IRA, Peter B. Bradford and Georgann Bradford
Claimant Lawyers(s): Peter B. Bradford
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Melinda G. Jayson
Hearing Site: Oklahoma City, OK
| | $0 |
| 10-00989 | 03/30/2011 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Mark Fowler
Respondent Lawyers(s): Mark W. Fowler
Arbitrator(s): George A. Sellnau
Hearing Site: Dallas, TX
| | $0 |
| 10-02387 | 03/30/2011 | Claimant(s): Wells Fargo Advisors Financial Network
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Bradley Gardner
Respondent Lawyers(s): Matthew B. Baum
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | $0 |
| 10-03595 | 03/30/2011 | Claimant(s): Kovack Securities Inc.
Claimant Lawyers(s): Brian Kovack
Respondent(s): Marco Caporale
Respondent Lawyers(s): Marco A. Caporale
Arbitrator(s): James D. Keeney
Hearing Site: Tampa, FL
| | $0 |
| 10-02434 | 03/30/2011 | Claimant(s): Natalie Schoengood
Claimant Lawyers(s): Natalie Schoengood
Respondent(s): David Klein
Respondent Lawyers(s): David Louis Klein
Arbitrator(s): Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | $25,425 |
