| 09-01333 | 09/20/2010 | Claimant(s): George Grant
Claimant Lawyers(s): George R. Grant
Respondent(s): Dave Samuels, Sagepoint Financial.
Respondent Lawyers(s): Louis H. Castoria
Arbitrator(s): Robert E. Thompson
Hearing Site: San Francisco, CA
|  | $39,000 |
| 09-05025 | 09/20/2010 | Claimant(s): Rita Brown
Claimant Lawyers(s): David H. Simmons
Respondent(s): Banc of America Investment Services Inc., Scott Krause
Respondent Lawyers(s): Barton Wayne Cox
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | $56,512 |
| 09-05650 | 09/20/2010 | Claimant(s): Martha Campbell, Martha C. Campbell Rollover IRA
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Kevin Williams, Asset Management Strategies, North Global Securities., North Wealth Management Company
Respondent Lawyers(s): A. Kipp Williams, Kevin A. Williams
Arbitrator(s): Lester G. Stiel, John Goodrich, Daniel A. Seiver
Hearing Site: San Diego, CA
| | $641,050 |
| 08-04827 | 09/20/2010 | Claimant(s): Laura Starnes, Michael Starnes, Michael Starnes Charitable Remainder TRT
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn J. Bushby
Arbitrator(s): William M. Lacy, Thomas Michael Genovese, Elliott Zachary Seff, Robert William Berliner, Dwight Wassong, Austin Martin O'Toole
Hearing Site: Memphis, TN
| | $0 |
| 10-01373 | 09/20/2010 | Claimant(s): Gary K. Maxwell (IRA)
Claimant Lawyers(s): Gary K. Maxwell
Respondent(s): Franklin Templeton Financial Services Co
Respondent Lawyers(s): David P. Goss
Arbitrator(s): M. W. Gear
Hearing Site: Wichita, KS
| | $57 |
| 09-06416 | 09/17/2010 | Claimant(s): Norman Malo
Claimant Lawyers(s): Brian J. Ellis
Respondent(s): Adele D'Lando, Benita Axel, Bessie Selz, Bruce Brauner, Carol Raben, Daniel Balko, Denise Marino, Edward Asch, Ethel Zebitz, Gary Weisman, Gerard Axel, Gloria Nadler, Helene Lipschutz, Herman Nadler, Holly Colangelo, Jacqueline Mishory, Joseph Messina, Joseph Nemeth, Joseph Schwartz, Judy Berlin, et al
Respondent Lawyers(s): Scott L. Silver
Arbitrator(s): Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
| 09-03526 | 09/17/2010 | Claimant(s): Viola McNeill
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Aaron Francis, Fidelity Brokerage Services LLC, William Laws
Respondent Lawyers(s): Elizabeth A. Marino
Arbitrator(s): Donald J. Zoeller, John Cleaveland Palmer, Kenneth Paul Williams
Hearing Site: New York, NY
| | $92,124 |
| 09-01200 | 09/17/2010 | Claimant(s): Darin Bryant, Janie Bryant
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Morgan Stanley & Co., Robert Wyatt
Respondent Lawyers(s): Anthony L. Valenzuela
Arbitrator(s): Maxel (Bud) B. Silverberg, Robert C. Denenberg, Edward J. Lynch
Hearing Site: Dallas, TX
| | $0 |
| 09-03649 | 09/17/2010 | Claimant(s): Summit Oak
Claimant Lawyers(s): Ralph R. Safford
Respondent(s): Kenneth Jones, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Todd A. Holleman
Arbitrator(s): Barry Goldman, Jennifer Ann Shandler, Paul Sislin
Hearing Site: Detroit, MI
| | $0 |
| 09-03841 | 09/17/2010 | Claimant(s): Catharine Bloss, Donald Bloss
Claimant Lawyers(s): Thomas H. Lake
Respondent(s): Edwin Harris, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Thomas J. Ray
Hearing Site: St. Louis, MO
| | $0 |
