| 09-02596 | 07/12/2010 | Claimant(s): Tommy Sausley
Claimant Lawyers(s): Tommy N. Sausley
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Thomas D. Cordell
Arbitrator(s): Philip I. McConnell, Mark A. Myers, Michele N. O'Brien
Hearing Site: Houston, TX
| | |
| 10-00595 | 07/12/2010 | Claimant(s): AXA Advisors
Claimant Lawyers(s): Don R. Boswell
Respondent(s): Michael Volts
Respondent Lawyers(s): Michael Volts
Arbitrator(s): Bruce K. Isenberg
Hearing Site: Boca Raton, FL
| | |
| 10-00688 | 07/12/2010 | Claimant(s): LPL Financial LLC
Claimant Lawyers(s): David S. Markun
Respondent(s): Jeffrey Hollingsworth
Respondent Lawyers(s): Jeffrey Scott Hollingsworth
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | |
| 07-02883 | 07/12/2010 | Claimant(s):
Claimant Lawyers(s):
Respondent(s): Keybanc Capital Markets Inc., John Hartman
Respondent Lawyers(s): John Hartman, Wm. Joseph Baker
Arbitrator(s): Ellen Holland Keller, I. Bernard Trombetta, Marianne L. Simpson
Hearing Site: Cleveland, OH
|  | Settlement |
| 07-03618 | 07/12/2010 | Claimant(s): Joan Tremblay, Ronald Tremblay
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, Questar Capital Corporation
Respondent Lawyers(s): Daniel J. Supalla, David M. Foster
Arbitrator(s): Martin Brosnan
Hearing Site: Detroit, MI
| | $35,148 |
| 09-03489 | 07/12/2010 | Claimant(s): Alexander Moskin and Claire Moskvin
Claimant Lawyers(s): Stuart D. Meissner
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Carlos Ricca
Arbitrator(s): Walter C. Parrish, S. Charles Tabak, Stanley David Goldman
Hearing Site: Newark, NJ
| | $90,000 |
| 09-04418 | 07/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): William Adelsberger
Respondent Lawyers(s): William G. Adelsberger
Arbitrator(s): Ralph S. Blascovich
Hearing Site: Baltimore, MD
| | |
| 09-04768 | 07/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Clifford Carnes
Respondent Lawyers(s): Clifford K. Carnes
Arbitrator(s): Antoinette C. Robbins
Hearing Site: Columbia, SC
| | |
| 09-04785 | 07/09/2010 | Claimant(s): Daniel Klein
Claimant Lawyers(s): Christine A. Palmieri
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Susan C. Lushing, Joseph D. Cosgrove, Gregory J. Getz
Hearing Site: New York, NY
| | |
| 09-01490 | 07/09/2010 | Claimant(s): Connecticut College
Claimant Lawyers(s): James T. Shearin
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Victor A. Machcinski
Arbitrator(s): June Y. Kilmarx, Sean Michael Peoples, James J. Gadarowski
Hearing Site: New London, CT
| | $363,503 |
