| 09-01613 | 12/14/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Joshua R. Pini
Respondent(s): Edward Walterhouse
Respondent Lawyers(s): Ronald M. Amato
Arbitrator(s): Howard Mark Klausmeier, Roman S. Gribbs, Phillip I. Levin
Hearing Site: Detroit, MI
| | |
| 09-02584 | 12/14/2010 | Claimant(s): Kay Family Revocable Trust dd 2/7/90
Claimant Lawyers(s): Cary S. Lapidus
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Barbara M. Anscher, Michael Lancaster Garcia, Robert M. Greber
Hearing Site: San Francisco, CA
|  | $750,000 |
| 09-05158 | 12/14/2010 | Claimant(s): Lynda Adee
Claimant Lawyers(s): Elizabeth A. O'Brien
Respondent(s): Wells Fargo Advisors, Thorolf Teigen
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $53,000 |
| 10-00033 | 12/14/2010 | Claimant(s): Robert Bryant
Claimant Lawyers(s): Gail E. Boliver
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Douglas W. Hyman
Arbitrator(s): Thomas J. Gmeinder
Hearing Site: Des Moines, IA
| | $108,570 |
| 09-04484 | 12/14/2010 | Claimant(s): ASA Tax Advantage Relative Value Fund
Claimant Lawyers(s): Geoffrey P. Jarpe
Respondent(s): National Financial Services LLC
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Bruce J. Nerland, Douglas J. Nesbit, Peter N. Thompson
Hearing Site: Minneapolis, MN
| | $0 |
| 09-05470 | 12/13/2010 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChausse
Respondent(s): Knut Eie
Respondent Lawyers(s): Knut Ferdinand Eie
Arbitrator(s): Martin Mandel
Hearing Site: Portland, OR
| | |
| 09-05848 | 12/13/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Rachael Luken Carp
Respondent(s): Jeffrey Stanley
Respondent Lawyers(s): Jeffrey Michael Stanley
Arbitrator(s): James D. Knotter
Hearing Site: Phoenix, AZ
| | |
| 10-00406 | 12/13/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Deborah Dickstein
Respondent(s): Van Zovluck
Respondent Lawyers(s): Van G. Zovluck
Arbitrator(s): Richard J. Kaplan
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-01338 | 12/13/2010 | Claimant(s): Karin Paridee-Beard, Ronald Beard, Beard Living Trust dtd 3/30/1999
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth H. Lindh
Arbitrator(s): Richard J. Stall, David W. Dresnick, Cheryl Marie Allain-Mee
Hearing Site: Los Angeles, CA
| | $336,270 |
| 09-05081 | 12/13/2010 | Claimant(s): Dennis L Adams (DECD) IRA,, Mary Kay Adams IRA, Mary Kay Adams Living Trust
Claimant Lawyers(s): James R Anderson
Respondent(s): Oppenheimer & Co.., Susan Rose
Respondent Lawyers(s): Deborah Dickstein
Arbitrator(s): Roland L. Olzark, Garrick A. Rollert, Ronald Marvin Rothstein
Hearing Site: Detroit, MI
| | Stipulated Award and Expungement |
