| 10-00558 | 01/13/2011 | Claimant(s): Antoinette Guenther, Antoinette S. Guenther Revocable Trust
Claimant Lawyers(s): Richard J. Gerace
Respondent(s): Richard Schilffarth, RBC Capital Markets LLC, B. C. Ziegler and Company
Respondent Lawyers(s): Carolyn Guy, Jonathan W. Hackbarth, Nancy L. Hendrickson
Arbitrator(s): Terry F. Peppard, Donald V. Anderson, James P. O'Donnell
Hearing Site: Milwaukee, WI
|  | $0 |
| 10-01792 | 01/13/2011 | Claimant(s): Sara Hosey
Claimant Lawyers(s): R. Allen Kilgore
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Suzanne H. Bertolett
Arbitrator(s): Marc Kalish
Hearing Site: Birmingham, AL
| | $0 |
| 10-03116 | 01/13/2011 | Claimant(s): Barbara F Raitzky
Claimant Lawyers(s): Barbara F. Raitzky
Respondent(s): Securities America., Richard Hoffman
Respondent Lawyers(s): Kelly R. Davis, Richard Horace Hoffman
Arbitrator(s): Michael P. Marryshow
Hearing Site: Philadelphia, PA
| | $163 |
| 09-05489 | 01/11/2011 | Claimant(s): George Saltzman
Claimant Lawyers(s): David F. McComb
Respondent(s): Jeffrey Smith, Morgan Stanley
Respondent Lawyers(s): Allison J. Adler
Arbitrator(s): Guillermo L. Bosch, Elizabeth A. McKinney, Richard N. Kelmans
Hearing Site: Philadelphia, PA
| | |
| 09-05246 | 01/11/2011 | Claimant(s): FTB, GC&KB Investments.
Claimant Lawyers(s): Stephen D. Marx
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Thomas A. Roberts
Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga
Hearing Site: New Orleans, LA
| | $85,507 |
| 09-03880 | 01/11/2011 | Claimant(s): Dan Salamie
Claimant Lawyers(s): Dana F. Eddy
Respondent(s): Bruce Conrad, TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt, William V. DePaulo
Arbitrator(s): W. Sean Kelleher, Randy Cepuch, W. Michael Frazier
Hearing Site: Charleston, WV
| | $0 |
| 10-01639 | 01/10/2011 | Claimant(s): Willard Friedman, SEP IRA, William Freidman IRA
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Brewer Financial Services
Respondent Lawyers(s): Adam Erickson
Arbitrator(s): Roy B. Gonas
Hearing Site: Boca Raton, FL
| | $85,225 |
| 09-04369 | 01/10/2011 | Claimant(s): Eric Besag, Eric T. Besag Living Trust
Claimant Lawyers(s): Mitchell S. Ostwald
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert M. Lubin
Hearing Site: San Francisco, CA
| | $0 |
| 09-04391 | 01/10/2011 | Claimant(s): Reba Ceniglis, Tom Ceniglis
Claimant Lawyers(s): Richard H. Elliott
Respondent(s): Dale Johnson, Morgan Stanley & Co., William Atwood Jr.
Respondent Lawyers(s): James J. Fontanilla
Arbitrator(s): Sherrie R. Abney, Lawrence R. Maxwell, W. Scott Newmann
Hearing Site: Dallas, TX
| | $0 |
| 09-05937 | 01/07/2011 | Claimant(s): Heather Donahue
Claimant Lawyers(s): Howard I. Elman
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Carol M. Goodman
Arbitrator(s): Judith R. MacDonald, Dorothy F. Gray, Diane Getzler
Hearing Site: New York, NY
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