| 09-00826 | 08/20/2010 | Claimant(s): Rex Glendenning, Sherese Glendenning
Claimant Lawyers(s): Howard J. Klatsky
Respondent(s): Larry Milton, Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): R. Theodore Moock, Lawrence R. Maxwell, Edward J. Lynch
Hearing Site: Dallas, TX
|  | Auction Rate Securities related |
| 09-00312 | 08/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Keith Jackson
Respondent Lawyers(s): Keith C. Jackson
Arbitrator(s): Stephen G. Sneeringer
Hearing Site: Kansas City, MO
| | |
| 10-00284 | 08/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Morgan
Respondent Lawyers(s): Joseph Michael Morgan
Arbitrator(s): Kevin R. Zehe
Hearing Site: Pittsburgh, PA
| | |
| 10-00783 | 08/19/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): James Miller
Respondent Lawyers(s): James R. Miller
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | |
| 10-00923 | 08/19/2010 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Albert J. Poliak
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Myron E. Levenson
Hearing Site: Boca Raton, FL
| | |
| 08-04912 | 08/19/2010 | Claimant(s): Alan Schildhorn, David LaVance, Erin Koury, Grady Hunt, Howard McNeil, Jeffrey Koury, Martha LaVance, NFS/FMTC Rollover IRA FBO Howard & Donna
Claimant Lawyers(s): Bradd L. Milove
Respondent(s): Ellyn McColgan, Norman Malo, National Financial Services LLC, Brookstreet Securities Corporation, Ted Nelson, FMR Corporation
Respondent Lawyers(s): Brian J. Ellis, H Thomas Fehn, Kevin J. Woods, Tracy L. Gerber
Arbitrator(s): John B. Wells, Donald S. Simons, Richard Maurice Robinson
Hearing Site: Los Angeles, CA
| | Stipulated Award and Expungement |
| 09-00807 | 08/19/2010 | Claimant(s): Austin Frishman, Barbara Frishman
Claimant Lawyers(s): Michael Amad
Respondent(s): Wachovia Securities, FMSBonds.
Respondent Lawyers(s): Keith Olin, Sydney A. Marks
Arbitrator(s): S. William Gersten, Charles Hoffman, Jay E. Eckhaus
Hearing Site: Boca Raton, FL
| | Stipulated Award |
| 10-00455 | 08/19/2010 | Claimant(s): Patricia Kaufman
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Ryan R. Baker
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
| | $9,102 |
| 10-00750 | 08/19/2010 | Claimant(s): Fortune and Robin Pestarino Jt Tenants
Claimant Lawyers(s): Jason T. Dennett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Annie M. Moriarty
Arbitrator(s): Lawrence E. Little
Hearing Site: Seattle, WA
| | $4,481 |
| 09-06620 | 08/19/2010 | Claimant(s): Koch Construction.
Claimant Lawyers(s): Scott K. Porsborg
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Alise Johnson
Arbitrator(s): Herbert S. Bratt
Hearing Site: Bismarck, ND
| | $0 |
