| 09-02511 | 06/10/2010 | Claimant(s): AJ Waight, Suann Waight
Claimant Lawyers(s): Mark Schwartz
Respondent(s): John Gorman, Robert Gillette, Tejas Securities Group., Tejas Securities.
Respondent Lawyers(s): Jamie Rose, Robert Edward Gillette, Thomas L. Branch
Arbitrator(s): Raymond C. Kerr, Carlton A. Butler, Austin Martin O'Toole
Hearing Site: Houston, TX
|  | $0 |
| 09-04514 | 06/10/2010 | Claimant(s): Virginia Kaye Corley
Claimant Lawyers(s): Barry D. Broome
Respondent(s): Wachovia Securities, James Stanley, Kathy Daisey, Kim Thomas, Kristin Sarafinis, Luther Reames, Mark Moore, Scott Tittle, Steve Kelleher
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Alfred Lee Dingler
Hearing Site: Atlanta, GA
| | $0 |
| 08-02674 | 06/09/2010 | Claimant(s): Larry Osborne
Claimant Lawyers(s): Armand Salese
Respondent(s): Chase Investment Services Corp., Steven Campbell
Respondent Lawyers(s): Susan M. Benton
Arbitrator(s): George N. Roy, Deborah C. Bernot, Jerome K. Altshuler
Hearing Site: Phoenix, AZ
| | |
| 09-05218 | 06/09/2010 | Claimant(s): Ross, Sinclaire & Associates
Claimant Lawyers(s): Louis F. Solimine
Respondent(s): Clayton Lowell & Conger.
Respondent Lawyers(s): Lawrence R. Gelber
Arbitrator(s): Thomas J. McAllister
Hearing Site: Cincinnati, OH
| | |
| 08-03677 | 06/09/2010 | Claimant(s): Paramount Vending., Albert Miniaci Revocable Trust, Beatriz Miniaci Revocable Trust, Dominick Miniaci Revocable Trust, Rose Miniaci Revocable Trust
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Burt R. Rose, Michael S. Davidoff, Stanley M. Goldberg
Hearing Site: Ft. Lauderdale, FL
| | $990,110 |
| 09-05048 | 06/09/2010 | Claimant(s): Jeffry A. Wisnia IRA Account
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Tom L. Peterson
Hearing Site: Boston, MA
| | $16,720 |
| 09-01540 | 06/09/2010 | Claimant(s): Kelli Jo Korenek
Claimant Lawyers(s): Mark Schwartz
Respondent(s): James Korenek, Richard Alexander, Stephens Inc.
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): David G. Beerbower, William J. Kirkpatrick, Michael L. Landrum
Hearing Site: Houston, TX
| | $0 |
| 09-02226 | 06/08/2010 | Claimant(s): Robert Willoughby
Claimant Lawyers(s): Jeffrey Shepro
Respondent(s): Sky Capital LLC
Respondent Lawyers(s): President or Compliance Officer
Arbitrator(s): Hugh N. Fryer
Hearing Site: New York, NY
| | |
| 10-00824 | 06/08/2010 | Claimant(s): Robert Furst, Investor Clout, an Arizona Partnership
Claimant Lawyers(s): Robert Furst
Respondent(s): Mortgages LTD. Securities, L.L.C.
Respondent Lawyers(s): Gerald K. Smith
Arbitrator(s): Richard Marc Weinroth
Hearing Site: Phoenix, AZ
| | |
| 08-00504 | 06/08/2010 | Claimant(s): Fred Kelley, Steven Helton, William Helton, William Miller
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Alan F. Enslen
Arbitrator(s): Arthur W. Pigott, James C. Hoover, Stanley W. Foy
Hearing Site: Birmingham, AL
| | $45,000 |
