| 09-05064 | 11/01/2010 | Claimant(s): Diane Reynolds
Claimant Lawyers(s): Richard De Vita
Respondent(s): David Dube, Peak Securities Corporation
Respondent Lawyers(s): David W. Dube, David Dube
Arbitrator(s): Debra G. Speyer, Kathleen K. Murphy, Peter L. Marco
Hearing Site: Philadelphia, PA
|  | $450,330 |
| 09-06653 | 11/01/2010 | Claimant(s): Georgiann Henritzy, Georgiann G. Henritzy Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Robert Roland
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Stephen D. Arkwright, Barbara A. Johannessen, Jonathan Edward Maire
Hearing Site: Detroit, MI
| | $0 |
| 10-00761 | 11/01/2010 | Claimant(s): Keith Brodkorb
Claimant Lawyers(s): Meghan W. Cassidy
Respondent(s): Joseph Kelly, Prudential Securities
Respondent Lawyers(s): Brian Witus
Arbitrator(s): Robert J. Scafuri, James L. Karpen, Ann W. Hartmann
Hearing Site: Detroit, MI
| | $0 |
| 10-00948 | 11/01/2010 | Claimant(s): Jean Cleveland
Claimant Lawyers(s): Franklin Jason Seibert
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): William B. Kirby
Hearing Site: Portland, OR
| | $0 |
| 09-01389 | 10/29/2010 | Claimant(s): Olav Refvik
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Jennifer Barrett
Arbitrator(s): Daniel B. Berkson, Kenneth M. Felder, Howard Breindel
Hearing Site: New York, NY
| | |
| 09-01515 | 10/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tracy Wildeman
Respondent Lawyers(s): Tracy Allen Wildeman
Arbitrator(s): Victor B. Taube, Ronald K. Sprague, James W. Warren
Hearing Site: Phoenix, AZ
| | |
| 09-07259 | 10/29/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Michael D. Jones
Respondent(s): Daniel Petit
Respondent Lawyers(s): Daniel A. Petit
Arbitrator(s): Steven P. Gregory
Hearing Site: Atlanta, GA
| | |
| 10-00429 | 10/29/2010 | Claimant(s): Estate of Steven Harris
Claimant Lawyers(s): Michael J. Sullivan
Respondent(s): J. B. Hanauer & Co., RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Edith M. Novack, Douglas S. Abel, Roland E. Wyatt
Hearing Site: Newark, NJ
| | |
| 10-02707 | 10/29/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Edward C Nowak
Respondent(s): Junius Beaver
Respondent Lawyers(s): Junius Verne Beaver
Arbitrator(s): Kevin R. McDermott
Hearing Site: Louisville, KY
| | |
| 09-06478 | 10/29/2010 | Claimant(s): Gilbert Rosenthal, Gilbert Rosenthal & Lora A. Rosenthal
Claimant Lawyers(s): Gilbert Rosenthal
Respondent(s): Eric Beachley, E*Trade Securities LLC, Peter Wight
Respondent Lawyers(s): John Bersin
Arbitrator(s): Edward M. Statland
Hearing Site: Washington, DC
| | $4,063 |
