| 09-01011 | 08/24/2010 | Claimant(s): Sandy Lerner
Claimant Lawyers(s): Louis F. Burke
Respondent(s): Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Carol E. Weir, David J. Pine, Alfred H. Kingon
Hearing Site: New York, NY
|  | $0 |
| 09-05967 | 08/24/2010 | Claimant(s): Henry Hanau, HFN Planning.
Claimant Lawyers(s): Henry Fred Hanau
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): Alun Hywel Jones
Hearing Site: New York, NY
| | $0 |
| 08-03629 | 08/23/2010 | Claimant(s): Bleifer Family Trust dtd 3/25/1999, Pompan Family Trust u/a/d 4/4/98, The Nickie Lee Silk 2004 Trust, The Nickie Lee Silk Declaration Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Elizabeth L. Lindh
Arbitrator(s): Larry Edmonson, Morris S. Getzels, Marc S. Joseph
Hearing Site: Los Angeles, CA
| | $2,024,000 |
| 09-02748 | 08/23/2010 | Claimant(s): James Boyer
Claimant Lawyers(s): Rew R. Goodenow
Respondent(s): Wachovia Securities, Eric Smith
Respondent Lawyers(s): G Thomas Fleming
Arbitrator(s): Paul D. Gutierrez, Mark Aaron Jones, Patrick Owen King
Hearing Site: Reno, NV
| | $25,000 |
| 09-01300 | 08/23/2010 | Claimant(s): James Culp, Nancy Culp, James and Nacy Culp Family Trust
Claimant Lawyers(s): Steven J. Gard
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Ronald W. Devoe, William H. Steinbrenner, James P. Ryan
Hearing Site: Orlando, FL
| | $0 |
| 09-04184 | 08/23/2010 | Claimant(s): Derrick Nesbitt
Claimant Lawyers(s): Brian K. Hilliard
Respondent(s): Frankie Ross, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Jerold R. Babin, William W. Haskell, M. Scott Donahey
Hearing Site: San Francisco, CA
| | $0 |
| 09-01560 | 08/20/2010 | Claimant(s): Peter Chiang
Claimant Lawyers(s): Neda Ataie
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jennifer Lynn Nutter
Arbitrator(s): Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 09-05778 | 08/20/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): David Waro
Respondent Lawyers(s): David J. Hase
Arbitrator(s): John E. Sundeen, P. J. Boylan, Leon Fox
Hearing Site: Milwaukee, WI
| | |
| 10-01420 | 08/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Beth Delaney
Respondent(s): Sherrey Harper
Respondent Lawyers(s): Sherrey A. Harper
Arbitrator(s): Robert H. Putnam
Hearing Site: Houston, TX
| | |
| 09-00363 | 08/20/2010 | Claimant(s): C. Nelson, Jonathan Daniels, Linda Nelson
Claimant Lawyers(s): William W. Allen
Respondent(s): Jeff Garstka, Myron Schneidt
Respondent Lawyers(s): Charles C. Mihalek, M. David Schneidt
Arbitrator(s): Allan Weiss, Richard B. Lewis, Jarrett Andrew Jacobs
Hearing Site: Louisville, KY
| | $1,152,300 |
