| 09-04900 | 08/30/2010 | Claimant(s): Alvin Kling, Pearl Kling, Alvin Kling Revocable Trust, Howard Gary Kling Irrevocable Trust
Claimant Lawyers(s): Jared A. Levy
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Andrew W. Robertson
Arbitrator(s): Michael J. Quarequio, Philip L. Manczak
Hearing Site: Boca Raton, FL
|  | $18,300 |
| 09-04748 | 08/27/2010 | Claimant(s): James Riley
Claimant Lawyers(s): James P. McCrocklin
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): Russell S. Sayre
Arbitrator(s): Leah A. Murray
Hearing Site: Louisville, KY
| | |
| 10-00061 | 08/27/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher C. Young
Respondent(s): James Tatlow
Respondent Lawyers(s): William J. Galbally
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Philadelphia, PA
| | |
| 09-03951 | 08/27/2010 | Claimant(s): David Roberts
Claimant Lawyers(s): John Sale Gordon
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Erin Linehan
Arbitrator(s): James Clifton Stone, Jan M. West, Enrico A. Mazzoli
Hearing Site: Louisville, KY
| | $22,999 |
| 09-04008 | 08/27/2010 | Claimant(s): Janice Thayer, Willis Thayer, II
Claimant Lawyers(s): Alan C. Friedberg
Respondent(s): TD Ameritrade., Keegan Davis, Lowell Pratt, Sheffield Richey, Burney Partners, The Burney Company
Respondent Lawyers(s): Douglas M. Palais, James J. Vihstadt, Keegan H. Davis
Arbitrator(s): James B. Eichberg, Bruce Brown, Kenneth Harry Combs
Hearing Site: Denver, CO
| | $62,125 |
| 09-04990 | 08/27/2010 | Claimant(s): John Ramey, Madrugada LP # 2, Ramey Company Profit Sharing DTD 1/4/01
Claimant Lawyers(s): G. Mark Brewer
Respondent(s): J Duckworth, UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Robert A. Yates, Ronald O. Bub, James J. Dobbin
Hearing Site: San Diego, CA
| | Expungement |
| 09-01760 | 08/27/2010 | Claimant(s): Alvin Trenk
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Joseph B. Russell, Brian F Loveman, Stevan J. Bosses
Hearing Site: New York, NY
| | $0 |
| 06-04643 | 08/26/2010 | Claimant(s): Edward Rubin, John Borer, Michael Vasinkevich, Wesley Clark, Rodman & Renshaw.
Claimant Lawyers(s): Natalie Shkolnik
Respondent(s): Matthew Murray
Respondent Lawyers(s): David J. Katz
Arbitrator(s): Romaine L. Gardner, Andrew E. Reegen, Aaron Friedman
Hearing Site: New York, NY
| | |
| 09-06942 | 08/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tim Dowden
Respondent Lawyers(s): J. Mitchell Little
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | |
| 10-00885 | 08/26/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Gary Feldman
Respondent Lawyers(s): Neal M. Goldstein
Arbitrator(s): James John Jurinski
Hearing Site: Portland, OR
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