| 10-00770 | 09/10/2010 | Claimant(s): John Schmidt
Claimant Lawyers(s): John J. Schmidt
Respondent(s): Kenneth Finkelson, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Michael P. Zwirko
Arbitrator(s): Paul E. Dahlman
Hearing Site: Las Vegas, NV
|  | $9,213 |
| 09-01577 | 09/09/2010 | Claimant(s): David Kronsbein
Claimant Lawyers(s): Vincent B. Lynch
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Jana Bruder
Arbitrator(s): Gordon G. Bowles, David M. Snyder, Russell W. Merriman
Hearing Site: Tampa, FL
| | |
| 09-01592 | 09/09/2010 | Claimant(s): Alf Co.. Retirement Trusts, Marietta Kneisly Trust, Craig Kneisly,
Claimant Lawyers(s): Robert A. Kantas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Clinton J. Simpson
Arbitrator(s): Ronald L. Futterman, David H. White, Stephanie Jean Malevich
Hearing Site: Memphis, TN
| | $577,714 |
| 09-06039 | 09/08/2010 | Claimant(s): Kevin Grier
Claimant Lawyers(s): David B. Wechsler
Respondent(s): Keybanc Capital Markets Inc.
Respondent Lawyers(s): Jeffrey S. Dunlap
Arbitrator(s): Michael H. DuBoff, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
| | |
| 10-00994 | 09/08/2010 | Claimant(s): Black Rose Equity Management
Claimant Lawyers(s): Sandra P. Espinosa
Respondent(s): Eugene Williams
Respondent Lawyers(s): Eugene Leroy Williams
Arbitrator(s): Michael G. Hanlon
Hearing Site: Portland, OR
| | |
| 10-01788 | 09/08/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Richmond, VA
| | |
| 08-04247 | 09/07/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s): Bryan Ziencik
Respondent Lawyers(s): Gretchen E. Moore
Arbitrator(s): Rita E. Tholt, Neil H. Alexander, Justin Henry McCarthy
Hearing Site: Pittsburgh, PA
| | |
| 10-00038 | 09/07/2010 | Claimant(s): Jesup & Lamont Securities Corp
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Aaron Foley
Respondent Lawyers(s): Peter H. Noone
Arbitrator(s): Martin Jay Siegel, Amy Lampert, Nancy E. Watters
Hearing Site: Boston, MA
| | |
| 09-00415 | 09/07/2010 | Claimant(s): Laurel Blau Revocable Trust
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Ben Suter
Arbitrator(s): Robert L. Agusto, James F. Carlson, David M. Fetter
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 09-04066 | 09/07/2010 | Claimant(s): The Estate of John F. Mann
Claimant Lawyers(s): Charles D. Koehler
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Jerry D. Mc Cormack, Kevin J. Demet, Scott T. Silker
Hearing Site: Milwaukee, WI
| | $0 |
