| 10-03896 | 03/02/2011 | Claimant(s): Ellen Jacob Custodian for John Fitsch
Claimant Lawyers(s): Ellen Jacob
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stuart T. Rebish
Arbitrator(s): Eric P. Nachman
Hearing Site: New York, NY
|  | $213 |
| 09-02216 | 03/01/2011 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Steven Farris
Respondent Lawyers(s): Steven E. Farris
Arbitrator(s): Thomas J. McAllister, Jesse David Hill, Michael William Petty
Hearing Site: St. Louis, MO
| | $0 |
| 09-03930 | 03/01/2011 | Claimant(s): Jesse Gomez
Claimant Lawyers(s): Stephen F. Henry
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): David S. Markun
Arbitrator(s): E. Duane Stephens, William Michael Samsel, John C McGourty
Hearing Site: San Francisco, CA
| | $0 |
| 09-05496 | 03/01/2011 | Claimant(s): IB Corp Investments and Business Group
Claimant Lawyers(s): Curtis Carlson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Norman L. Weiss, Robert A. Fabricant, Todd M. Saunders
Hearing Site: Boca Raton, FL
| | $0 |
| 09-05147 | 03/01/2011 | Claimant(s): MAXXAM Inc.
Claimant Lawyers(s): Jacks C. Nickens
Respondent(s): Kevin Laurie, Timothy Ford
Respondent Lawyers(s): Philip E. Cook
Arbitrator(s): Dolores M Martin, R. Lee Britton Jr., Joel H. Pullen
Hearing Site: Houston, TX
| | $0 |
| 09-05795 | 03/01/2011 | Claimant(s): Robert Axel, Wilburn McClure
Claimant Lawyers(s): Robert A. Axel, Willburn F. McClure
Respondent(s): Matthew Lowe, Raymond, James & Associates., Michael Magruder
Respondent Lawyers(s): Kelli Bullington
Arbitrator(s): Thomas E. Shuck, Suzanne Viau Chamberlain, Mark A. Levy
Hearing Site: Los Angeles, CA
| | $0 |
| 09-07075 | 03/01/2011 | Claimant(s): Roger Elswick
Claimant Lawyers(s): Travis C. Crowder
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Alisa Ruth
Hearing Site: Houston, TX
| | $0 |
| 09-07147 | 03/01/2011 | Claimant(s): Martin Hauptman
Claimant Lawyers(s): Adolph D. Seltzer
Respondent(s): Jeffrey Alexander, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Robert L. Salzberg, Robert M. Goldstein, Nicholas Brunero
Hearing Site: New York, NY
| | $0 |
| 10-02474 | 03/01/2011 | Claimant(s): Raifman Family Rev Intel Trust
Claimant Lawyers(s): Brian G. Isaacson
Respondent(s): Wachovia Securities, George Gordon
Respondent Lawyers(s): David A. Picon, Ronald E. Wood
Arbitrator(s): Mary Curran, Frank R Weaver, Nancy Hutt
Hearing Site: San Francisco, CA
| | $0 |
| 09-04274 | 02/28/2011 | Claimant(s): Marc Miller
Claimant Lawyers(s): George L. Guerra
Respondent(s): Edward Jones
Respondent Lawyers(s): Jason Haselkorn
Arbitrator(s): Richard J. Fuller, Mary T. Hettig, Gerald F. Gude
Hearing Site: Tampa, FL
| | $0 |
