| 09-04209 | 07/27/2010 | Claimant(s): The Estate of Philip Greenbaum
Claimant Lawyers(s): Adam Doner
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph C. Coates
Arbitrator(s): Ronald H. Walton, Barth Satuloff, Louis Moroff
Hearing Site: Boca Raton, FL
|  | $190,000 |
| 09-06704 | 07/27/2010 | Claimant(s): Beja Finance International
Claimant Lawyers(s): Robert L. Schenk
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Katherine C. Donlon
Arbitrator(s): Mark D. Quinn, Todd M. Saunders, Barry David Thorpe
Hearing Site: Miami, FL
| | Dismissed by Rule 12206 |
| 10-00071 | 07/27/2010 | Claimant(s): Maurice Musry
Claimant Lawyers(s): Maurice Musry
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Payne L. Templeton
Arbitrator(s): Charles Ajamian
Hearing Site: Newark, NJ
| | $25,425 |
| 09-07030 | 07/27/2010 | Claimant(s): Florence Isham
Claimant Lawyers(s): Fred S. Clark
Respondent(s): J.J.B. Hilliard, W.L. Lyons
Respondent Lawyers(s): J. Curtis McCubbin
Arbitrator(s): Albert J. Haller
Hearing Site: St. Louis, MO
| | $0 |
| 10-00035 | 07/27/2010 | Claimant(s): Robert Turak
Claimant Lawyers(s): Robert B. Turak
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Jonathan Holman Hathaway
Hearing Site: San Francisco, CA
| | $0 |
| 09-05226 | 07/26/2010 | Claimant(s): Gieseking Family Trust Dated 10/03/02
Claimant Lawyers(s): Navid Yadegar
Respondent(s): Charles Schwab & Co.., The Charles Schwab Corporation
Respondent Lawyers(s): Michelle Fron
Arbitrator(s): William M. Howard, George N. Roy, Ralph H. Martin
Hearing Site: Phoenix, AZ
| | Expungement |
| 08-02958 | 07/26/2010 | Claimant(s): Anna Rasmussen, Robert Jack Rasmussen, Cust. Acct., Samuel Robert Rasmussen, Taylor Marie Rasmussen Cust. Acct.
Claimant Lawyers(s): Gregory A. Adamski
Respondent(s): LPL Financial LLC, John Donaldson, Professional Wealth Management.
Respondent Lawyers(s): Paul Weltlich, Peter B. Shaeffer
Arbitrator(s): Robin David, James F. Carlson, Hyram A. Evans
Hearing Site: Chicago, IL
| | $0 |
| 09-03317 | 07/26/2010 | Claimant(s): Barbara Hager, Robert Hager, Robert J. Hager and Barbara R. Hager
Claimant Lawyers(s): Robert K. Savage
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Trae D. Meyr
Arbitrator(s): Ronald H. Walton, Frank Brenner, Elizabeth A. Townes
Hearing Site: Tampa, FL
| | $0 |
| 09-03920 | 07/26/2010 | Claimant(s): Frank Dottori
Claimant Lawyers(s): Timothy P Gunning
Respondent(s): Ameriprise Financial Services., Robert Lucarelli
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Samuel H. Chorches
Hearing Site: Hartford, CT
| | $0 |
| 08-01602 | 07/23/2010 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Owen Mulvaney
Respondent Lawyers(s): Owen Mulvaney
Arbitrator(s): Karen Z. Fischer, John Uustal, Dale W. Oliver
Hearing Site: Boca Raton, FL
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