| 08-04427 | 02/18/2011 | Claimant(s): TGS-NOPEC Geophysical Company
Claimant Lawyers(s): Todd A Higgins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): Arno C. Schwethelm, Larry J. Craddock, Martin Epner
Hearing Site: Houston, TX
|  | $525,000 |
| 09-02892 | 02/18/2011 | Claimant(s): Keith Cohn, Keith Cohn Rollover IRA Trust
Claimant Lawyers(s): Philip Borowsky
Respondent(s): AllianceBernstein L.P., Sanford C. Bernstein & Co., LC
Respondent Lawyers(s): Tommaso Bencivenga
Arbitrator(s): Alvin L. Fishman, Michael Lancaster Garcia
Hearing Site: San Francisco, CA
| | $553,333 |
| 09-05884 | 02/18/2011 | Claimant(s): Woodrow & Joyce Vermillion
Claimant Lawyers(s): Randall S. Strause
Respondent(s): Dean Donohue, Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Allan Weiss
Hearing Site: Louisville, KY
| | $0 |
| 09-04996 | 02/18/2011 | Claimant(s): Sidney Small
Claimant Lawyers(s): Seth Huberman
Respondent(s): RBC Capital Markets LLC, Timothy Disparte
Respondent Lawyers(s): Jessica J. Stomski, Kevin S. Besetzny
Arbitrator(s): Jeffrey W. Finke, Brian E. Slotky, Timothy M. Feeney
Hearing Site: Chicago, IL
| | $0 |
| 09-05369 | 02/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Dennis Briscoe
Respondent Lawyers(s): Dennis B. Briscoe
Arbitrator(s): Stanley F. Meyerson, Romaine L. Gardner, Royce Russell
Hearing Site: New York, NY
| | $0 |
| 10-00305 | 02/17/2011 | Claimant(s): John Decorso
Claimant Lawyers(s): Jason J. LeBoeuf
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Frederic L. Lieberman
Arbitrator(s): Fred S. Pieroni, S. Charles Tabak, Thomas A. Abitabile
Hearing Site: Newark, NJ
| | $0 |
| 10-03464 | 02/17/2011 | Claimant(s): Ruth Goldstein
Claimant Lawyers(s): Ruth D. Goldstein
Respondent(s): James Webb, Kathi Mansfield, Cape Securities Inc.
Respondent Lawyers(s): Melissa Malcom
Arbitrator(s): Robert H. Putnam
Hearing Site: Atlanta, GA
| | $0 |
| 10-04003 | 02/17/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Larry J. Lipka
Respondent(s): Cody Hawkins-Fitzgerald
Respondent Lawyers(s): Cody D. Hawkins-Fitzgerald
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Orlando, FL
| | $0 |
| 10-04611 | 02/17/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Kenneth Lannigan
Respondent Lawyers(s): Kenneth Lee Lannigan
Arbitrator(s): Robert H. Putnam
Hearing Site: Columbia, SC
| | $0 |
| 09-05842 | 02/17/2011 | Claimant(s): Bob Starnes, The Starnes Family Trust dated 6/25/96
Claimant Lawyers(s): Jeffrey P. Coleman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Matthew N. Thibaut
Arbitrator(s): William H. Fleece, Nicholas G. Dukas, Andrea Bailey
Hearing Site: Tampa, FL
| | $131,000 |
