| 09-05084 | 11/10/2010 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Mark Davis
Respondent Lawyers(s): Richard L. Bolhouse
Arbitrator(s): John R. Main
Hearing Site: Detroit, MI
| | |
| 09-05673 | 11/10/2010 | Claimant(s): Joyce Aucoin
Claimant Lawyers(s): Joyce Aucoin
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Nathan R. Jaskowiak
Arbitrator(s): James S. Munroe, Suzanne Viau Chamberlain, David L. Maislen
Hearing Site: Los Angeles, CA
| | |
| 10-00699 | 11/10/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mitchell J. Albert
Respondent(s): David Wilson
Respondent Lawyers(s): David Paul Wilson
Arbitrator(s): Frederick Michael Switzer
Hearing Site: Little Rock, AR
| | |
| 10-02947 | 11/10/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Mark Hatton
Respondent Lawyers(s): Mark Douglas Hatton
Arbitrator(s): David I. Goldblatt
Hearing Site: Albany, NY
| | |
| 09-01568 | 11/10/2010 | Claimant(s): Jordan Moffet, Margot Trombley, Trustees of the Moffet Family Trust
Claimant Lawyers(s): Todd A. Higgins
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Devin A. Donahue
Arbitrator(s): Mary L. Williams, Elizabeth A. Copley, David Nielsen
Hearing Site: Los Angeles, CA
|  | $668,820 |
| 09-04932 | 11/10/2010 | Claimant(s): RSA 1 Limited Partnership
Claimant Lawyers(s): Stanley J. Thompson
Respondent(s): Duane Sturm, Raymond James Financial Services., Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Andrew R. Dick, Mark S. Gleason, Steven C. Despotovich
Hearing Site: Des Moines, IA
| | Auction Rate Securities related |
| 09-05415 | 11/10/2010 | Claimant(s): Lenore J. Gaynor Decl . of Trust
Claimant Lawyers(s): David R. Chase
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Tracy L. Gerber
Arbitrator(s): James D. McDonald, Steven Gerard Goerke
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-07153 | 11/10/2010 | Claimant(s): Peter Skouras
Claimant Lawyers(s): George W. Klein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn L. Dietrich
Arbitrator(s): Bernard A. Friedman
Hearing Site: New York, NY
| | $25,425 |
| 10-00266 | 11/10/2010 | Claimant(s): Sara Reed
Claimant Lawyers(s): Irwin Stein
Respondent(s): Kimon Daifotis, Charles Schwab & Co.., Randall Merk
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
| | Expungement |
| 09-01037 | 11/10/2010 | Claimant(s): Darryll Ceccoli
Claimant Lawyers(s): Gerald B. Kline
Respondent(s): Dvora Callahan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): A. Keith Logue, William Clay Gilbert, Robert A. Dean
Hearing Site: Atlanta, GA
| | $0 |
