| 09-05478 | 11/22/2010 | Claimant(s): Sean Cusak
Claimant Lawyers(s): Rodney J. Heggy
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): James G. Cooper, Reginald Harris Brockwell, Martin Samuel Altimore
Hearing Site: Houston, TX
| | |
| 09-02891 | 11/22/2010 | Claimant(s): Jeffrey Garske
Claimant Lawyers(s): Seth Huberman
Respondent(s): Gregory Knight, Max International Broker/Dealer Corp
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Mitchell M. Willoughby, N. John Garcia, Thomas Christopher Tuck
Hearing Site: Columbia, SC
|  | $200,896 |
| 09-03613 | 11/22/2010 | Claimant(s): Waterlight International S.A.
Claimant Lawyers(s): Timothy P. Kebbe
Respondent(s): Edward Marx, UBS Financial Services Inc.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Mitchell S. Friedman, Linda S. Cole, Jonathan Honig
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
| 09-00200 | 11/22/2010 | Claimant(s): John Grimes
Claimant Lawyers(s): John W. Grimes
Respondent(s): Roy Neal, 1717 Capital Management Company
Respondent Lawyers(s): Joseph J. Dehner, Natalie T. Furniss
Arbitrator(s): Bert S Cliff, Bill Swinford, Robert Economou
Hearing Site: Cincinnati, OH
| | $0 |
| 08-02389 | 11/19/2010 | Claimant(s): Joseph Borkowski
Claimant Lawyers(s): Marc A. Susswein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Carole Miller
Arbitrator(s): Boyd H. Scheff, Lincoln W. Craighead, James I. Berliner
Hearing Site: New York, NY
| | |
| 09-05196 | 11/19/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): John Lutz
Respondent(s): George Garro, Jon Metzger, SMH Capital Inc.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Larry D. Hayden, Luis D. Rovira, David L. Erickson
Hearing Site: Denver, CO
| | |
| 10-02084 | 11/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): Gene Burns
Respondent Lawyers(s): Gene Howard Burns
Arbitrator(s): Nancy Hutt
Hearing Site: San Francisco, CA
| | |
| 10-02242 | 11/19/2010 | Claimant(s): Matthew Mielewski
Claimant Lawyers(s): Matthew J. Mielewski
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Louis G. Santangelo
Arbitrator(s): Steven J. Feldman
Hearing Site: Los Angeles, CA
| | |
| 08-02589 | 11/19/2010 | Claimant(s): Brenda Flautt, Frank L. Flautt,Jr. Rollover IRA, Frank L. Flautt, Jr. Revocable Trust, Flautt Family Foundation
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Michael Brady
Arbitrator(s): Richard W. Epstein, Martin P. Bergman, James Edward Edwards
Hearing Site: Boca Raton, FL
| | $1,826,120 |
| 09-03814 | 11/19/2010 | Claimant(s): Joseph Jefferys
Claimant Lawyers(s): Brian P. Biggins
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Melinda L. Peevy
Arbitrator(s): Truman M. Hogan, W. Sean Kelleher, Kimberly C. Lawrence
Hearing Site: Cleveland, OH
| | $27,160 |
