| 09-01102 | 12/02/2010 | Claimant(s): Linden Pasadena Properties
Claimant Lawyers(s): Jared R.B. Hutton
Respondent(s): Citigroup Global Markets., Susan Mamer
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Robert J. Ruben, Anna Marie Turco, Joseph C. Watson
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-02630 | 12/02/2010 | Claimant(s): James Dunning
Claimant Lawyers(s): Jon Paul Robbins
Respondent(s): Brian Hirsch, Martin Shafiroff, Barclays Capital Inc.
Respondent Lawyers(s): David G. Russell
Arbitrator(s): Joel P. Mellis, Abigail J. Pessen, Stephen J. Patti
Hearing Site: New York, NY
| | $0 |
| 09-02468 | 12/01/2010 | Claimant(s): David Russell
Claimant Lawyers(s): Nelson S. Torre
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Anthony Vitanza, Jacqueline W. Marshall, Ronald Ripstein
Hearing Site: Buffalo, NY
| | |
| 09-07256 | 12/01/2010 | Claimant(s): Phillip Semenick
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Chicago Investment Group
Respondent Lawyers(s): Richard P. Lynch
Arbitrator(s): Joseph J. Slotnik, Stanley Seidman, Harold S. Stern
Hearing Site: Boca Raton, FL
| | |
| 10-01848 | 12/01/2010 | Claimant(s): Pamela Mah
Claimant Lawyers(s): Pamela K. Mah
Respondent(s): Financial Advisers of America
Respondent Lawyers(s): Todd Pack
Arbitrator(s): Helen Marinak Blohm, Robert G. Miller, Edwin C. Shiver
Hearing Site: Honolulu, HI
| | |
| 09-01436 | 12/01/2010 | Claimant(s): James Jones, Lillie Jones
Claimant Lawyers(s): Casey W. Jones
Respondent(s): Dennis Beeby, Jay Potter, Michael McIntyre, Reid Scofield, Nexcore Capital.
Respondent Lawyers(s): R. Craig Zafis, Reid D. Scofield
Arbitrator(s): Robert W. Vernon, Donald S. Simons, Robert P. Clifford
Hearing Site: Los Angeles, CA
| | $15,600 |
| 09-01756 | 12/01/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Matthew B. Henneman
Respondent(s): Bryan Sampson, Connie Heinen, Robert W. Baird & Co. Incorporated
Respondent Lawyers(s): Stephen M. Bales
Arbitrator(s): Rolf V. Aronsen, Verne R. Gray, Thomas J. Duff
Hearing Site: Des Moines, IA
| | $2,428,030 |
| 09-01796 | 12/01/2010 | Claimant(s): Allen Graber, Bertram Barnett, Robert Yarbrough, Robert L. Cockroft and Kathy C. Cockroft, Bittjal Partners
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Thomas L. Maschmeyer, P. Drake Mann, Yvonia A. Foster
Hearing Site: Memphis, TN
| | $2,428,030 |
| 09-06768 | 12/01/2010 | Claimant(s): Seymour Lowell and Lee G. Lowell
Claimant Lawyers(s): Scott L. Silver
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Randy R. Freedman, Gloria F. Katz, Mark David Hunter
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 10-02449 | 12/01/2010 | Claimant(s): Donald Lingle
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): G. Wayne Hillis
Arbitrator(s): William B. Kirby
Hearing Site: Boise, ID
| | $15,532 |
