| 09-06429 | 03/22/2011 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): John Hopkins
Respondent Lawyers(s): John H. Ridley
Arbitrator(s): J. Maxwell Williams
Hearing Site: Atlanta, GA
| | $0 |
| 10-03855 | 03/22/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Craig Marcello
Respondent Lawyers(s): Craig S. Marcello
Arbitrator(s): Robert T. Allen
Hearing Site: Charlotte, NC
| | $0 |
| 09-04549 | 03/22/2011 | Claimant(s): The Roger & Rosemary Enrico Foundation
Claimant Lawyers(s): James P. Graven
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Donald C. Hood, Richard C. Corse, Donna Ross Philip
Hearing Site: Dallas, TX
|  | $207,994 |
| 10-03441 | 03/22/2011 | Claimant(s): Hugh Glass
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Jaime H. Scivley
Arbitrator(s): Robert E. Jenks
Hearing Site: Birmingham, AL
| | $4,213 |
| 09-02088 | 03/22/2011 | Claimant(s): Freedom Investors Corp.
Claimant Lawyers(s): Harry Delagrammatikas
Respondent(s): Sydney Pinter, Kahal Shomrei Hadath, non-profit Synagog
Respondent Lawyers(s): Sydner Pinter
Arbitrator(s): Marilyn J. Salzman, Martin Hunger, Ellyn S. Roth
Hearing Site: New York, NY
| | $0 |
| 09-04530 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Shane Wheeler
Respondent Lawyers(s): Shane Wheeler
Arbitrator(s): John P. Cullem, Thomas R. Carlsen, Michael S. Hill
Hearing Site: Tampa, FL
| | $0 |
| 10-00632 | 03/21/2011 | Claimant(s): Karen Kim
Claimant Lawyers(s): Karen H. Kim
Respondent(s): RBS Securities Inc.
Respondent Lawyers(s): Gabriel L. Williams
Arbitrator(s): Dallas Whitney Coffman, Samuel H. Chorches, Francis J. Pavetti
Hearing Site: Hartford, CT
| | $0 |
| 10-01253 | 03/21/2011 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Lauren R. Fox
Respondent(s): Brian Dabney
Respondent Lawyers(s): Brian W. Dabney
Arbitrator(s): R. Phillip Reed
Hearing Site: Louisville, KY
| | $0 |
| 10-02070 | 03/21/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James J. McNamara
Respondent(s): Edna Jackson
Respondent Lawyers(s): Daniel D. Hill
Arbitrator(s): Leon Fox
Hearing Site: Minneapolis, MN
| | $0 |
| 07-00769 | 03/21/2011 | Claimant(s): Armande Desjarlais
Claimant Lawyers(s): Steven M. Green
Respondent(s): James Sheridan, R. Will, Randy Weaver
Respondent Lawyers(s): James A. Sheridan, R. Lance Will, Randy Weaver
Arbitrator(s): Fred T. Kallet, James J. Dobbin, Nils Stephen Sandberg
Hearing Site: San Diego, CA
| | $54,833 |
