| 09-03250 | 05/07/2010 | Claimant(s): Walter Cole and Antoinette Cole JTTEN
Claimant Lawyers(s): John S. Gaughan
Respondent(s): Wells Fargo Investments, Michael Mcgraw
Respondent Lawyers(s): Vanessa Hoffman
Arbitrator(s): Ralph H. Erickson
Hearing Site: Los Angeles, CA
|  | $5,000 |
| 08-04863 | 05/07/2010 | Claimant(s): Gerald Adkins, Gerald Adkins Irrevocable Trust
Claimant Lawyers(s): Kenneth A. Bohnert
Respondent(s): Morgan Keegan & Company., Robert Elliott
Respondent Lawyers(s): Patrice R. Walker
Arbitrator(s): Sharon R. Merriman, Robert Laurence Astorino, Stephen Ronald Crissey
Hearing Site: Louisville, KY
| | $0 |
| 09-01066 | 05/07/2010 | Claimant(s): Peabody House Company Partnership
Claimant Lawyers(s): Kevin S. Murphy
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Gerard S. Marsan, June Y. Kilmarx, Pran N. Tiku
Hearing Site: Boston, MA
| | $0 |
| 09-04373 | 05/07/2010 | Claimant(s): James R. Burns, IRA
Claimant Lawyers(s): James A Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): C. Sumpter Logan
Hearing Site: Birmingham, AL
| | $0 |
| 08-01652 | 05/06/2010 | Claimant(s): Mesirow Financial Holdings., Mesirow Financial Invesment Managment,, Mesirow Financial.
Claimant Lawyers(s): Scott Vold
Respondent(s): David Copeland, Neal Price, Strategic Wealth Partners
Respondent Lawyers(s): Tiffany C. Woodie
Arbitrator(s): Doris H. Geck, Richard J. Belmonte, Debra J. Tucker
Hearing Site: Chicago, IL
| | |
| 08-03005 | 05/06/2010 | Claimant(s): Central Florida Investments.
Claimant Lawyers(s): Richard W Epstein
Respondent(s): Oppenheimer & Co..
Respondent Lawyers(s): Peter Byer
Arbitrator(s): Stuart S. Billington, Thomas Joseph Atkinson, Lauren S. Puritz
Hearing Site: Orlando, FL
| | $328,684 |
| 08-04709 | 05/06/2010 | Claimant(s): Roger Gimbel
Claimant Lawyers(s): Arthur M. Handler
Respondent(s): Stephen Degroat, Jesup & Lamont Securities Corp
Respondent Lawyers(s): Michael Kalmus, Todd Zuckerbrod
Arbitrator(s): Susan C. Lushing, John B. Sprung, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 09-01789 | 05/06/2010 | Claimant(s): Robert Palumbo
Claimant Lawyers(s): Robert Palumbo
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Robert M. Goldstein, Lori H. Carena, Joan Marie Chiusano
Hearing Site: New York, NY
| | $0 |
| 09-03310 | 05/06/2010 | Claimant(s): Frank Kulbacki
Claimant Lawyers(s): John Kachmarsky
Respondent(s): Citigroup Global Markets., Legg Mason Wood Walker, Robert Phillips
Respondent Lawyers(s): William E. Mahoney
Arbitrator(s): Fred W. Miller, George F. Adams, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | $0 |
| 09-01631 | 05/05/2010 | Claimant(s): Louise Painter
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): Kathleen A. Garske, James P. Ryan, Stephen A. Saker
Hearing Site: Orlando, FL
| | $32,500 |
