| 10-01986 | 10/21/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Ronald Brown
Respondent Lawyers(s): Ronald Lucas Brown
Arbitrator(s): Irving A. Chesler
Hearing Site: Louisville, KY
| | |
| 09-04057 | 10/21/2010 | Claimant(s): Lynette Cromwell
Claimant Lawyers(s): Lynette Cromwell
Respondent(s): Anthony Provenzano, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Clarence L. Pozza
Arbitrator(s): Barbara A. Johannessen, Roland L. Olzark, Thomas W. Lawson
Hearing Site: Detroit, MI
|  | $10,000 |
| 09-00258 | 10/21/2010 | Claimant(s): Moeller Family Charitable Rem Uni Trust
Claimant Lawyers(s): Kenneth R. Shemin
Respondent(s): Arvest Investments.
Respondent Lawyers(s): Zach Chaffe-McClure
Arbitrator(s): James Stephen Jones, J. Maxwell Williams, Angelia J. Tolbert
Hearing Site: Little Rock, AR
| | $0 |
| 09-01854 | 10/21/2010 | Claimant(s): Abraham Assil
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Stephen Young
Arbitrator(s): Barbara M. Zak, James R. Duncan, Richard J. Stall
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04888 | 10/20/2010 | Claimant(s): Stephen Finkelstein
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): UBS Securities LLC, UBS Global Asset Management (US) Inc.
Respondent Lawyers(s): Lloyd B. Chinn
Arbitrator(s): Earl S. Schwarz, Howard D. Jacob, Peter A. Kiefer
Hearing Site: New York, NY
| | |
| 10-01894 | 10/20/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Brian S. Hormozi
Respondent(s): Francisco Diaz
Respondent Lawyers(s): Francisco Alberto Diaz
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Miami, FL
| | |
| 10-02098 | 10/20/2010 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Dean Holloway
Respondent Lawyers(s): Dean Loughin Holloway
Arbitrator(s): Seth L. Finkel
Hearing Site: Miami, FL
| | |
| 09-02693 | 10/20/2010 | Claimant(s): Steven Weisberg, IRA FBO Steven L. Weisberg SunAmerica Tr, Steven L. Weisberg Rev. Trust
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Royal Alliance Associates., John Schwartz, Retirement Advisory Services.
Respondent Lawyers(s): Gerry Kowalski
Arbitrator(s): Paul W. Sterman, Michael J. Quarequio, Eugene H. Steele
Hearing Site: Boca Raton, FL
| | $80,000 |
| 09-06085 | 10/20/2010 | Claimant(s): Dushaune Evans
Claimant Lawyers(s): Brian C. Parker
Respondent(s): Frederick Judkins, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Janet Stern Solomon
Hearing Site: Washington, DC
| | $60,000 |
| 10-03099 | 10/20/2010 | Claimant(s): Helen Grant and Eugene Grant
Claimant Lawyers(s): Brian J. Neville
Respondent(s): Greg Schaefer, Dillon Scott Securities.
Respondent Lawyers(s): Greg Scott Schaefer, Jack Lubitz
Arbitrator(s): Howard Weitz
Hearing Site: New York, NY
| | $167,358 |
