| 09-05050 | 12/20/2010 | Claimant(s): Jeffrey Penner, Phyllis Penner
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): Herbert J. Sims & Co. Inc.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Mark C. Perry, James W. Geiger, Mary H. Cory
Hearing Site: Boca Raton, FL
|  | $0 |
| 09-06023 | 12/20/2010 | Claimant(s): Harriet Johnson, Jan Patton, Robert Patton
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Joseph Stricklin, Morgan Keegan & Company.
Respondent Lawyers(s): Janet P. Jakubowicz
Arbitrator(s): Amelia F. Adams, Allan Weiss, Gail Burke Tway
Hearing Site: Louisville, KY
| | $0 |
| 10-01631 | 12/20/2010 | Claimant(s): Susan Manners
Claimant Lawyers(s): Susan M. Manners
Respondent(s): Oppenheimer & Co.., Stephen Wilshinsky
Respondent Lawyers(s): Diana H. Sur, Stephen J. Wilshinsky
Arbitrator(s): Sandra L. Malek
Hearing Site: Los Angeles, CA
| | $0 |
| 10-02498 | 12/20/2010 | Claimant(s): Dean & Tonia Kaufman
Claimant Lawyers(s): Dean Kaufman
Respondent(s): Interactive Brokers LLC
Respondent Lawyers(s): Juli Aylesworth
Arbitrator(s): Edward Blumstein
Hearing Site: Philadelphia, PA
| | $88 |
| 09-01054 | 12/17/2010 | Claimant(s): Merrill Lynch, Pierce, Fenner & Smith
Claimant Lawyers(s): Olga Y. Wayne
Respondent(s): David Manno
Respondent Lawyers(s): Glenn E. Goldberg
Arbitrator(s): David D. Cohen, William R. Turner, Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 10-02397 | 12/17/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Robert Buckelew
Respondent Lawyers(s): Joseph Castelluci
Arbitrator(s): Richard D. DeVita
Hearing Site: Newark, NJ
| | |
| 10-03300 | 12/17/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Brett Fisher
Respondent Lawyers(s): Brett Jurgen Fisher
Arbitrator(s): Sharon R. Merriman
Hearing Site: Indianapolis, IN
| | |
| 10-00422 | 12/17/2010 | Claimant(s): Edward Jones
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): George Turak
Respondent Lawyers(s): Ivan J. Feiner
Arbitrator(s): Walter R. Milbourne
Hearing Site: Philadelphia, PA
| | $0 |
| 09-02258 | 12/17/2010 | Claimant(s): Nancy Butler, Estate of Thomas Warren Butler
Claimant Lawyers(s): K.O. Herston
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): George D. Sullivan
Arbitrator(s): Rody P. Biggert, Paul Weinberg, Henry Kirke Cushing
Hearing Site: Nashville, TN
| | $48,181 |
| 09-04135 | 12/17/2010 | Claimant(s): Annabelle Gaty, Jo Ann Caudill, Ted Gaty, Allenne G. Hatch, Indiv & as custodian, Craig Caudill, Ted E. Gaty as TTEE for the Allenne G.
Claimant Lawyers(s): Mark E Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Tim V. Young, Allan Weiss, James A. Morrow
Hearing Site: Indianapolis, IN
| | $29,822 |
