| 09-02634 | 12/02/2010 | Claimant(s): Reef Securities.
Claimant Lawyers(s): Joel Held
Respondent(s): James Buquoi, Ryan Wright
Respondent Lawyers(s): Cleveland G. Clinton
Arbitrator(s): G. Dale McKissick, Daniel A. Kile, Nicole T. LeBoeuf
Hearing Site: Dallas, TX
| | |
| 09-04150 | 12/02/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Jerry Czin
Respondent Lawyers(s): Joseph P. Paranac
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | |
| 09-04380 | 12/02/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Fischetti
Respondent Lawyers(s): Allan P. Whitehead
Arbitrator(s): Paul Lilling, Gary F. Lang, Stuart S. Billington
Hearing Site: Orlando, FL
| | |
| 09-04824 | 12/02/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan Levine
Respondent(s): Shawn Newman
Respondent Lawyers(s): Shawn C. Newman
Arbitrator(s): Susan J. Buckley, Denise L. Presley, Jerry L. Hooper
Hearing Site: Charlotte, NC
| | |
| 09-06410 | 12/02/2010 | Claimant(s): John Hurd, John Walsh, Marc Bonifacic
Claimant Lawyers(s): Peter B. Sloss
Respondent(s): Thomas Pritchard, Todd Giustiniano, Pritchard Capital Holding
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Charles A. Bosworth, Kurt D. Steiner, Onnig Hatchig Dombalagian
Hearing Site: New Orleans, LA
| | |
| 10-01190 | 12/02/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): John Sandstrom
Respondent Lawyers(s): Michael R. Scott
Arbitrator(s): Michael J. Fish
Hearing Site: Seattle, WA
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| 09-01072 | 12/02/2010 | Claimant(s): John Zarich
Claimant Lawyers(s): James Collins
Respondent(s): Merriman Curhan Ford & Co.
Respondent Lawyers(s): Michael Quinn
Arbitrator(s): Robert G. Miller, Harry B. Endsley, Amy Seltzer
Hearing Site: San Francisco, CA
|  | $29,500 |
| 09-02420 | 12/02/2010 | Claimant(s): Michael Klatte, Klatte Golf Management., Klatte Golf Partnership, Michael A. Klatte Charitable Remainder U
Claimant Lawyers(s): Michael MacDonald
Respondent(s): Anthony Salino, Lynn Schultz, RBC Dain Rauscher., Ron Ison, Roy Cohen, Mercer Asset Management., Mercer Capital Ltd., The Estate of Leonard Cleophas Demers
Respondent Lawyers(s): Anthony John Salino, Donald S. Arbour, Kelly W. Hoversten, Lynn G. Schultz, Lynn Gordon Schultz, Ron Jason Ison, Roy Cohen, The Company President
Arbitrator(s): Bruce J. Nerland, Thomas J. Gmeinder, Robert S. Burk
Hearing Site: Minneapolis, MN
| | $2,839,290 |
| 09-03836 | 12/02/2010 | Claimant(s): Dennis E. Flynn IRA
Claimant Lawyers(s): Chris D. Barski
Respondent(s): Bryan Dunn, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Richard D. Fincher, W. Michael Kelley, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | $71,532 |
| 09-05472 | 12/02/2010 | Claimant(s): Mary McIntire, Thomas Grant
Claimant Lawyers(s): Eliot D. Shavin
Respondent(s): John Sprague, AFS Brokerage., Evolve Securities., First Midamerica Investment Corporation, Sprague Captial Management Group
Respondent Lawyers(s): David A. Calhoun, Douglas Hemke, Kenneth Shade, CCO, Patrick Lanier, Phillips A. Danks
Arbitrator(s): Linda Broocks, William S. Hopkins, Michael S. Wilk
Hearing Site: Houston, TX
| | $261,300 |
