| 09-06691 | 08/10/2010 | Claimant(s): Michael Antes
Claimant Lawyers(s): J. L. Spray
Respondent(s): Paula Turner
Respondent Lawyers(s): Paula Jean Turner
Arbitrator(s): Will B. Tschudy, M. W. Gear, James A. Hayes
Hearing Site: Omaha, NE
|  | $4,500,000 |
| 09-07097 | 08/10/2010 | Claimant(s): Debbie Gardner, Erica M. Gardner
Claimant Lawyers(s): Debbie K. Hancock
Respondent(s): Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Herbert Liberman
Hearing Site: San Francisco, CA
| | Dismissed by Rule 12206 |
| 09-03970 | 08/10/2010 | Claimant(s): Anthony Fortuna, Frances Fortuna
Claimant Lawyers(s): Eric S. Richards
Respondent(s): Wachovia Securities, Craig Herrington
Respondent Lawyers(s): Miles D. Hart
Arbitrator(s): Kenneth Rochlen, Martin I. Reisig, Linda M. Foster-Wells
Hearing Site: Detroit, MI
| | $0 |
| 09-03535 | 08/09/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania Facher
Respondent(s): John Martfeld
Respondent Lawyers(s): D. Westbrook Doss,
Arbitrator(s): Royce Alan Burns, Donna J. Young, David T. Maddux
Hearing Site: Little Rock, AR
| | |
| 09-04872 | 08/09/2010 | Claimant(s): Harold Cannell
Claimant Lawyers(s): Harold Cannell
Respondent(s): Blake Pollock, David Kuhna, UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Timothy J. Currier
Hearing Site: Detroit, MI
| | Expungement |
| 09-02154 | 08/09/2010 | Claimant(s): Beverly Goldfarb, Herbert Goldfarb
Claimant Lawyers(s): Brian H. Reis
Respondent(s): Peter Gelwarg, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Edith M. Novack, Walter C. Parrish, Morton S. Bunis
Hearing Site: Newark, NJ
| | $0 |
| 09-04856 | 08/06/2010 | Claimant(s): Invest Financial Corporation
Claimant Lawyers(s): Luigi Spadafora
Respondent(s): William Banks
Respondent Lawyers(s): William M. Banks
Arbitrator(s): Doris Lindbergh
Hearing Site: New York, NY
| | |
| 08-04070 | 08/06/2010 | Claimant(s): East Tennessee Neurology P.C. Profit
Claimant Lawyers(s): Brian N. Smiley
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Stuart D. Roberts
Arbitrator(s): Joshua D. Wallach, Kenneth M. Jackson, Elton W. Chartrand
Hearing Site: Nashville, TN
| | $484,357 |
| 09-00294 | 08/06/2010 | Claimant(s): Jason Schecter, Lissa Fial, Lynn Schecter
Claimant Lawyers(s): Lawrence R. Gelber
Respondent(s): Chucks Roberts, Citigroup Global Markets., Stephen Condos, The Condos and Roberts Group
Respondent Lawyers(s): Compliance Officer, Jeffrey L. Friedman, William A. Hohauser
Arbitrator(s): Richard S. Peskin, Cynthia A. DiMarco, Martin H. Zern
Hearing Site: New York, NY
| | Expungement |
| 09-07176 | 08/06/2010 | Claimant(s): Bruno Weber
Claimant Lawyers(s): Magdalena Flunger
Respondent(s): Brian Schkeryantz, JB Oxford & Company
Respondent Lawyers(s): Brian M. Schkeryantz, President or Compliance Officer
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | Dismissed by Rule 12206 |
