| 08-00978 | 11/19/2010 | Claimant(s): Gregory Doane
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Bruce Lewitas
Arbitrator(s): Robert L. Spangler, Anna M. Fanelli, Ellyn S. Roth
Hearing Site: New York, NY
|  | $0 |
| 09-06754 | 11/19/2010 | Claimant(s): James Populorum
Claimant Lawyers(s): James Richard Populorum
Respondent(s): Janice Hallett, The Tidal Group
Respondent Lawyers(s): David B. Dyer
Arbitrator(s): David P. McDuffee, Charles Sydnor Thompson, Lester Neal Ellis
Hearing Site: Raleigh, NC
| | $0 |
| 10-01807 | 11/19/2010 | Claimant(s): Bruce B. Raynor
Claimant Lawyers(s): Bruce B. Raynor
Respondent(s): Samuel Starling
Respondent Lawyers(s): Chan Nam
Arbitrator(s): Thomas W. Steed
Hearing Site: Raleigh, NC
| | $213 |
| 09-03551 | 11/18/2010 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Eric J. Dec
Respondent(s): Mitchell Sloane
Respondent Lawyers(s): Mitchell Harris Sloane
Arbitrator(s): Sandra J. Mullings, Jan Louise Ulman, Joseph M. Buffone
Hearing Site: New York, NY
| | |
| 09-06300 | 11/18/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Amy M. Fritsky
Respondent(s): Oscar Penn
Respondent Lawyers(s): Oscar Penn
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Houston, TX
| | |
| 08-03886 | 11/18/2010 | Claimant(s): Melinda Johnson, Mitchell Johnson
Claimant Lawyers(s): Terrance J. Slominski
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Donald P. Wray
Arbitrator(s): Michael D. Weiner, Nina Vallion, Bert P. Krages
Hearing Site: Portland, OR
| | $22,397 |
| 09-02059 | 11/18/2010 | Claimant(s): William Quiros
Claimant Lawyers(s): David Gurnick
Respondent(s): Kevin Caputo, Merrill Lynch Pierce Fenner & Smith Inc., Steven Port
Respondent Lawyers(s): Christine A. Page, Susan L. Hoffman
Arbitrator(s): Barbara Faye Vosen, David W. Casey, Walter R. Whitman
Hearing Site: Los Angeles, CA
| | $500,000 |
| 09-02623 | 11/18/2010 | Claimant(s): Kevin Holloway, Shyamala Holloway
Claimant Lawyers(s): Kevin Holloway
Respondent(s): Kenneth Thom, Kevin Burr
Respondent Lawyers(s): Kenneth Thom, Kevin Richard Burr
Arbitrator(s): James J. Fishman, Kinchen C. Bizzell, Paul Weinberg
Hearing Site: New York, NY
| | $38,902 |
| 09-05070 | 11/18/2010 | Claimant(s): Joanne Bohnke
Claimant Lawyers(s): David Valicenti
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Robert S. McConnell, Thomas A. Peterson, LeRoy Melvin Gilbertson
Hearing Site: Phoenix, AZ
| | $136,112 |
| 07-01147 | 11/18/2010 | Claimant(s): The Estate of Lessie M. Delk
Claimant Lawyers(s): John J. Allan
Respondent(s): Kelly Waller, A.G. Edwards & Sons.
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): Robert J. Gryzmala, John R. Loss, Heath O. Lauseng
Hearing Site: St. Louis, MO
| | $0 |
