| 08-01654 | 12/06/2010 | Claimant(s): Walter Roth
Claimant Lawyers(s): Walter W. Roth
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): David E. Strand
Arbitrator(s): David N. Brainin, Marilyn Chin, Angela M. Morisco
Hearing Site: Newark, NJ
| | |
| 09-00249 | 12/06/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Telum Winters
Respondent Lawyers(s): Telum Jackey Winters
Arbitrator(s): Harris E. Bunkin, Irwin Glazer, Marcy R. Greer
Hearing Site: Tampa, FL
| | |
| 09-05407 | 12/06/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Joshua Cuff
Respondent Lawyers(s): Joshua Cuff
Arbitrator(s): David Paul Clark
Hearing Site: Richmond, VA
| | |
| 10-00741 | 12/06/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Michael Gavin
Respondent Lawyers(s): Michael Francis Gavin
Arbitrator(s): Sanford S. Stevens
Hearing Site: Philadelphia, PA
| | |
| 09-04937 | 12/06/2010 | Claimant(s): Ken Yokel, Robert B. Yokel Charitable Lead Trust, Yokel Charitable Lead Annuity Trust
Claimant Lawyers(s): Hayward Richard Pressman
Respondent(s): David Shelton
Respondent Lawyers(s): David Stanley Shelton
Arbitrator(s): Leona Beane, James D. Muir, Stephen Martin Friedberg
Hearing Site: New York, NY
|  | $601,665 |
| 09-05801 | 12/06/2010 | Claimant(s): Robert Bridge
Claimant Lawyers(s): Steven M. Green
Respondent(s): John Elliott, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Stephen Lau
Arbitrator(s): John C. Lees, Sally G. Williams, Robert Alan Merring
Hearing Site: San Diego, CA
| | $68,547 |
| 09-00978 | 12/06/2010 | Claimant(s): Lee Maimon and Barbara Maimon
Claimant Lawyers(s): Joel D. Feldman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Edward F. Koren, Peter L. Marco, Robin L. Lewis
Hearing Site: Philadelphia, PA
| | $0 |
| 09-03906 | 12/06/2010 | Claimant(s): Patsy Freeman, Patsy Freeman Investment Management Acco
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Stephen C. Esposito, William M. Lacy, Leonard J. Sullivan
Hearing Site: Nashville, TN
| | $0 |
| 09-05922 | 12/06/2010 | Claimant(s): Alicia Cofresi-Vila
Claimant Lawyers(s): Rafael E. Lugo-Sotomayor
Respondent(s): Miguel Suau, Popular Securities.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): Steven Gerard Goerke, Jonathan H. Parker, Jaime J. Aponte-Parsi
Hearing Site: San Juan, PR
| | $0 |
| 09-05998 | 12/06/2010 | Claimant(s): Patrick Morris
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): E*Trade Securities LLC, E*Trade Clearing LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Anne H. Orr, Yvette L. Nurse, Scott William Marcus
Hearing Site: Atlanta, GA
| | $0 |
