| 10-03355 | 03/08/2011 | Claimant(s): Jeffrey Olson
Claimant Lawyers(s): Jeffrey Robert Olson
Respondent(s): Ralph Gannett, Cullum & Burks Securities.
Respondent Lawyers(s): Ralph Thomas Gannett, Steven L. Burks
Arbitrator(s): William B. Ross
Hearing Site: Milwaukee, WI
|  | $20,425 |
| 09-02593 | 03/08/2011 | Claimant(s): The Estate of Lawanda Padgett
Claimant Lawyers(s): Kurtis J. Ward
Respondent(s): Capital West Securities.
Respondent Lawyers(s): Joe M. Hampton
Arbitrator(s): Bill H. Brister
Hearing Site: Oklahoma City, OK
| | $0 |
| 10-00962 | 03/08/2011 | Claimant(s): Mary Hess, Mary Abbott Hess as TTEE and Beneficiary
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Kathryn Kennedy
Respondent Lawyers(s): Patrick G. King
Arbitrator(s): Ray J. Grzebielski, Theresa A Gillerlain, Jeffrey L. Durkes
Hearing Site: Chicago, IL
| | $0 |
| 08-04477 | 03/07/2011 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Gregory Ramirez
Respondent Lawyers(s): Jonathan Schwartz
Arbitrator(s): John B. Wells, Stephen B. Benton, Gerald C. Tambe
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05958 | 03/07/2011 | Claimant(s): Octavio Torres
Claimant Lawyers(s): Kevin J. Mirch
Respondent(s): David Walker, Hartford Life Distributors f/k/a Planco
Respondent Lawyers(s): Jeffrey D. Hedlund
Arbitrator(s): Evan A. Gould, Thomas L. Marshall, Mack Reed Christian
Hearing Site: San Diego, CA
| | $0 |
| 09-06020 | 03/07/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Donald R. Littlefield
Respondent(s): William Livingston Coster
Respondent Lawyers(s): Leonard J. Meyer
Arbitrator(s): Maxel (Bud) B. Silverberg, Juanita D. McKethan, Marjorie C. Johnson
Hearing Site: Houston, TX
| | $0 |
| 10-05050 | 03/07/2011 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C. Nowak
Respondent(s): Robert Isom
Respondent Lawyers(s): Robert C. Isom
Arbitrator(s): Peter B. Vaden
Hearing Site: Columbia, SC
| | $0 |
| 09-06559 | 03/07/2011 | Claimant(s): Allyn Husman, JoAnn Husman
Claimant Lawyers(s): Michael S. MacDonald
Respondent(s): Ralph Schneider, Ronald Kerher, Okoboji Financial Services.
Respondent Lawyers(s): President of the Company, Ralph R. Schneider, William D. Nelson
Arbitrator(s): Kevin D. Hofman, Susan M. Sanger, Wayne A. Robinson
Hearing Site: Minneapolis, MN
| | $299,400 |
| 09-07231 | 03/07/2011 | Claimant(s): Sonie Kim
Claimant Lawyers(s): Leonard Steiner
Respondent(s): William Park, United Equity Securities
Respondent Lawyers(s): William Brown Park
Arbitrator(s): Michael M. Hachigian
Hearing Site: Los Angeles, CA
| | $135,225 |
| 10-02524 | 03/07/2011 | Claimant(s): Leonard Massello
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Robert Harris
Arbitrator(s): Edward R. Niederriter, Judith Kelner Chu, Steven E. Eisenberg
Hearing Site: Boca Raton, FL
| | $259,400 |
