| 09-04718 | 06/01/2010 | Claimant(s): Brian Behan, Marion Behan
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Marsco Investment Corporation
Respondent Lawyers(s): Steven M. Hecht
Arbitrator(s): Charles Kleinbaum
Hearing Site: New York, NY
|  | $0 |
| 08-04607 | 05/28/2010 | Claimant(s): Peter Kuper
Claimant Lawyers(s): Patricia A. Washienko
Respondent(s): Morgan Stanley & Co., Stephen Penwell
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Nelson P. Lovins, Stephen Z. Frank, Lee McHarg Holland
Hearing Site: Boston, MA
| | |
| 09-03974 | 05/28/2010 | Claimant(s): Morgan Stanley Smith Barney
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): William Bettis
Respondent Lawyers(s): William Jonathan Bettis
Arbitrator(s): James H. Bowersox
Hearing Site: San Diego, CA
| | |
| 09-04266 | 05/28/2010 | Claimant(s): Smh Capital Inc.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Patricia Bonavito
Respondent Lawyers(s): Patricia Bonavito
Arbitrator(s): Joseph D. Cosgrove, Judith C. Greene, Ronald J. Colombo
Hearing Site: New York, NY
| | |
| 09-04787 | 05/28/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Nancy Lawton
Respondent Lawyers(s): Tim Bowers
Arbitrator(s): Alan M. Schankel, Glenn Lloyd Nobel
Hearing Site: Philadelphia, PA
| | |
| 09-06945 | 05/28/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): James Henry
Respondent Lawyers(s): Phillip C. Green
Arbitrator(s): Mark A. Myers
Hearing Site: Little Rock, AR
| | |
| 08-03396 | 05/28/2010 | Claimant(s): Frederick Hart
Claimant Lawyers(s): J. Jerome Hartzell
Respondent(s): Bruce Baker, Peter Dawson, Obsidian Financial Group
Respondent Lawyers(s): Brian Reis, Paul R. Williams, Peter J. Dawson-08A3494
Arbitrator(s): Jack C. Aycock, C. Marcus Harris, Chase Boone Saunders
Hearing Site: Charlotte, NC
| | $89,439 |
| 09-02992 | 05/28/2010 | Claimant(s): Martin Fischer
Claimant Lawyers(s): Martin J. Fischer
Respondent(s): Andrea Fischer, Joseph Lushina, Edward Jones
Respondent Lawyers(s): Andrea Fischer, Edwin A. Barkel
Arbitrator(s): Lester Friedman, James W. Warren, Ralph L. Jacobson
Hearing Site: Reno, NV
| | $15,300 |
| 09-04857 | 05/28/2010 | Claimant(s): James Hayter
Claimant Lawyers(s): James E. Hayter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ira L. Oring
Arbitrator(s): Edward M. Statland
Hearing Site: Washington, DC
| | $7,750 |
| 09-02518 | 05/28/2010 | Claimant(s): Elizabeth Austin, Elizabeth O. Austin Trust
Claimant Lawyers(s): John J. Miller
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): John D. Perry
Arbitrator(s): Murray S. Levin, Joseph M. Rebein, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | $0 |
