| 10-00013 | 12/16/2010 | Claimant(s): Roee Kraemer
Claimant Lawyers(s): Roee Kraemer
Respondent(s): Burke Dambly, Daryl Holzberg, James Walsh, Private Asset Group.
Respondent Lawyers(s): Robert J. Girard
Arbitrator(s): Alan M. Rosen
Hearing Site: Los Angeles, CA
|  | Expungement |
| 10-02953 | 12/16/2010 | Claimant(s): Donald Englehart
Claimant Lawyers(s): Donald Joseph Englehart
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): W. Sean Kelleher
Hearing Site: Cleveland, OH
| | $2,324 |
| 08-03844 | 12/16/2010 | Claimant(s): Gary Siller, Heather Hietpas, Juanita Malone Cooper, Lauren Thompson, Leslie Siller, Michael Thompson, Thomas Thompson, Valerie Thompson
Claimant Lawyers(s): Roger B. Greenberg
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): Juanita D. McKethan, Marjorie C. Johnson
Hearing Site: Houston, TX
| | $0 |
| 09-05134 | 12/16/2010 | Claimant(s): Concetta Bannan, Gerard Bannan
Claimant Lawyers(s): John F. McKenna
Respondent(s): Arthur Jones, Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Karl Marquardt
Arbitrator(s): Guillermo L. Bosch, Gordon E. Wright, Elliot B. Platt
Hearing Site: Philadelphia, PA
| | $0 |
| 10-02047 | 12/16/2010 | Claimant(s): Michael Lees
Claimant Lawyers(s): Michael A Lees
Respondent(s): Richard Pollan, Morgan Wilshire Securities.
Respondent Lawyers(s): Michael Finnan, Richard Douglas Pollan
Arbitrator(s): William B. Ross
Hearing Site: Rapid City, SD
| | $764 |
| 10-02096 | 12/16/2010 | Claimant(s): Vicki Williams
Claimant Lawyers(s): Vicki R Williams
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Thomas F. Kopshever
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
| 10-02393 | 12/15/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Michael Leichman
Respondent Lawyers(s): Michael Alan Leichman
Arbitrator(s): Allen D. Schwartz
Hearing Site: Boca Raton, FL
| | |
| 09-06134 | 12/15/2010 | Claimant(s): Kenneth McKenna
Claimant Lawyers(s): Joseph A. Granich
Respondent(s): Mark Casolo, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Mark Carmen Casolo
Arbitrator(s): Annamaria Boccia Smith
Hearing Site: Albany, NY
| | $25,500 |
| 08-03623 | 12/15/2010 | Claimant(s): Charlie Johnson
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Patrick King
Arbitrator(s): Monette E. Draper, Raymond M. Kirtley, John Andrew Wagner
Hearing Site: Indianapolis, IN
| | $0 |
| 09-05032 | 12/15/2010 | Claimant(s): Ensco International Incorporated
Claimant Lawyers(s): Robert L. Wright
Respondent(s): Jefferies & Company.
Respondent Lawyers(s): Martin J. Auberbach
Arbitrator(s): Robert E. Treadaway, Edward J. Lynch, James W. Kerr
Hearing Site: Dallas, TX
| | $0 |
