| 09-02697 | 08/03/2010 | Claimant(s): Amzak Capital Management, Gerald J. Kazma Revocable Trust
Claimant Lawyers(s): Robert Wayne Pearce
Respondent(s): Citigroup Global Markets., Citigroup Alternative Investments
Respondent Lawyers(s): Jason M. Fedo
Arbitrator(s): Donald R. McGahan, Myron E. Levenson, Joseph Benalt
Hearing Site: Boca Raton, FL
|  | $1,817,300 |
| 09-03990 | 08/03/2010 | Claimant(s): Kajeet.
Claimant Lawyers(s): Gregory T. Lawrence
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Mary Gail Gearns
Arbitrator(s): Michael J. Henke, Christopher M. McMurray, Barrett W. Freedlander
Hearing Site: Baltimore, MD
| | $80,800,000 |
| 09-00921 | 08/03/2010 | Claimant(s): Frank Foglia
Claimant Lawyers(s): Frank Foglia
Respondent(s): Frank Vanore
Respondent Lawyers(s): Jessica Levine
Arbitrator(s): Charles A. Crocco
Hearing Site: Newark, NJ
| | $0 |
| 09-01142 | 08/03/2010 | Claimant(s): Denise Sullivan
Claimant Lawyers(s): Port Parker
Respondent(s): Matthew DiGiacomo, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Alexander L. Mazour, Harry B. Endsley, John Patrick Kelly
Hearing Site: San Francisco, CA
| | $0 |
| 09-03884 | 08/03/2010 | Claimant(s): TD Ameritrade.
Claimant Lawyers(s): James Vihstadt
Respondent(s): Nancy Frain, William Frain
Respondent Lawyers(s): William F. Frain
Arbitrator(s): Chesley Oriel
Hearing Site: Boston, MA
| | $0 |
| 09-03272 | 08/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Jaymee Kahn
Respondent(s): John Pemberton
Respondent Lawyers(s): John Pemberton
Arbitrator(s): Thomas B. Phillips, Joseph M. Rebein
Hearing Site: Kansas City, MO
| | |
| 10-00503 | 08/02/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Timothy Hartman
Respondent Lawyers(s): Timothy Neal Hartman
Arbitrator(s): Lester Friedman
Hearing Site: Reno, NV
| | |
| 08-04499 | 08/02/2010 | Claimant(s): Ame Wauters, Camilla Rogers, Suzanne Rogers Special Needs Trust
Claimant Lawyers(s): Val D. Hornstein
Respondent(s): Arthur Quintero, Patrick Nelson, Peilee Liu, Robert Angle, White Pacific Securities.
Respondent Lawyers(s): Kevin L. Wheeler
Arbitrator(s): Paul J. Dubow, Mary Margaret Bush, Fred D. Butler
Hearing Site: San Francisco, CA
| | $1,092,510 |
| 09-03614 | 08/02/2010 | Claimant(s): Curtis Pilot
Claimant Lawyers(s): Dawn Stith Evans
Respondent(s): Citigroup Global Markets., Webb Radcliff, Morgan Stanley Smith Barney (CRD#149777), Salomon Smith Barney (CRD # 7059)
Respondent Lawyers(s): Sean J. Coughlin
Arbitrator(s): Kendall P. Hill, Steven P. Gregory, Marshal H. Emerson
Hearing Site: Birmingham, AL
| | Stipulated Award and Expungement |
| 09-03911 | 08/02/2010 | Claimant(s): Linda Whitesell
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Bruce Biedar, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Jerome J. Brault, Lee H. Goodman, Lynn Hirschfeld Brahin
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
