| 10-00169 | 06/29/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): William Bartok
Respondent Lawyers(s): William John Bartok
Arbitrator(s): Lester Friedman
Hearing Site: San Francisco, CA
| | |
| 09-01477 | 06/29/2010 | Claimant(s): Intevac.
Claimant Lawyers(s): Robert L. Schnell
Respondent(s): Citigroup Global Markets., Citigroup Inc.
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Gary A. Hooker, Sterling N. Frost, Gail Killefer
Hearing Site: San Francisco, CA
|  | Auction Rate Securities related |
| 09-03616 | 06/29/2010 | Claimant(s): Louise S. Hodge Multiple Powers Trust
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): John Hancock Distributors LLC
Respondent Lawyers(s): Stephanie P. Karn
Arbitrator(s): Edward T. Borer, John L. Braxton, Edward F. Koren
Hearing Site: Philadelphia, PA
| | $579,795 |
| 09-04167 | 06/29/2010 | Claimant(s): Michael Tepper Revocable Trust
Claimant Lawyers(s): P. David Newsome
Respondent(s): Capital West Securities.
Respondent Lawyers(s): Joe M. Hampton
Arbitrator(s): Van R. Oliver
Hearing Site: Oklahoma City, OK
| | $21,442 |
| 09-04587 | 06/29/2010 | Claimant(s): James P. Pache Trust
Claimant Lawyers(s): Craig W. Horn
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Diana H. Sur
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $8,000 |
| 09-01494 | 06/29/2010 | Claimant(s): Kenneth Iwanicki, Penelope Iwanicki
Claimant Lawyers(s): Michael J. Calvey
Respondent(s): Richard Lewin, Robert Lewin, Basic Investors Inc., Penson Financial Services.
Respondent Lawyers(s): Jonathan D. Neerman, Mark S. Gregory, Thomas Laundrie, President
Arbitrator(s): Robert W. Edler, Theodore M. Utchen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
| 09-00176 | 06/28/2010 | Claimant(s): Kevin Dirussa
Claimant Lawyers(s): Jonathan Sack
Respondent(s): Sterne, Agee & Leach.
Respondent Lawyers(s): Stephen L. Poer
Arbitrator(s): Louis H. Miron, Marvin Schleyer, Daniel P. Lund
Hearing Site: Newark, NJ
| | |
| 09-01452 | 06/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Ronald P. Kane
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Kenneth D. Bingham, Simeon R. Trotter, Robert R. Nursey
Hearing Site: Dallas, TX
| | |
| 09-01642 | 06/28/2010 | Claimant(s): Michael McMahon
Claimant Lawyers(s): Shannon M. McDonough
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard H. Kuhlman
Arbitrator(s): James A. Lundberg, Andrew R. Dick, Gary L. Hansen
Hearing Site: Minneapolis, MN
| | |
| 09-04408 | 06/28/2010 | Claimant(s): Nicolas Billeaud
Claimant Lawyers(s): Martin F. Gusy
Respondent(s): HSBC Bank USA, N.A., HSBC North America Holdings., HSBC Securities (USA) Inc.
Respondent Lawyers(s): Allan S. Bloom
Arbitrator(s): David N. Brainin, Franklin P. Chapman, Blossom Nicinski
Hearing Site: New York, NY
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