| 08-01503 | 04/16/2010 | Claimant(s): Anna Brasch
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Eric Henry, Thomas Kelly, K & H Partners
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): D. Michael Kratchman, William P. Thorpe, A. Robert Stevenson
Hearing Site: Detroit, MI
|  | $0 |
| 08-02833 | 04/16/2010 | Claimant(s): O. Stanley and Frankie F. Thornton
Claimant Lawyers(s): Pratt H. Davis
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Robert N. Leitch, Dave Wolf, T. Scott Watkins
Hearing Site: Atlanta, GA
| | $0 |
| 09-03504 | 04/16/2010 | Claimant(s): Mid Coast Builders, Mid Coast Builders Supply Inc. 1, Mid Coast Builders Supply. 2, The New Mid-Coast Plan BJC, The New Mid-Coast Plan BJC PM, The New Mid-Coast Plan REC, The Cook Trust dtd 5/3/88
Claimant Lawyers(s): Alan R. Templeman
Respondent(s): Citigroup Global Markets., John Sottile, Morgan Stanley Smith Barney
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Stanley C. Morris, Steven J. Feldman, James Stephan Mulholland
Hearing Site: Los Angeles, CA
| | $0 |
| 09-05655 | 04/16/2010 | Claimant(s): Jean Dalisa
Claimant Lawyers(s): Paul T. Vink
Respondent(s): Arlene Quaranta, Wachovia Securities
Respondent Lawyers(s): Joseph F. Generelli, Roland T. Koke
Arbitrator(s): Eric P. Nachman, Lincoln W. Craighead, Bernard J. McGuire
Hearing Site: New York, NY
| | $0 |
| 09-02732 | 04/15/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Wesley Long
Respondent Lawyers(s): Wesley G. Long
Arbitrator(s): George F. Longino
Hearing Site: Dallas, TX
| | |
| 08-02851 | 04/15/2010 | Claimant(s): John Doerner
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Clifford Gamble, Gibbs Brown, Joseph Vassallo, Leland Prussia, Linda Sechser, Richard Boone, Scott Hultsman, Timothy Menezes, EPlanning Securities.
Respondent Lawyers(s): Clifford N. Gamble, Gibbs W. Brown, Joseph J. Ehrlich, Linda M. Sechser, Richard E. Boone, Scott Hultsman
Arbitrator(s): William W. Haskell, Dennis W. Yan, Sean B. Meehan
Hearing Site: San Francisco, CA
| | Expungement |
| 09-00874 | 04/15/2010 | Claimant(s): Harriet Gale Trust, Harriet Gale Trustee, Irving Harris Trust, Irving Harris TTEE
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Dawson James Securities.
Respondent Lawyers(s): Craig R. Glasser
Arbitrator(s): Robert H. Hagan, David P. Slater, Jay E. Eckhaus
Hearing Site: Boca Raton, FL
| | $11,300 |
| 09-01446 | 04/14/2010 | Claimant(s): Timothy Holt
Claimant Lawyers(s): Michael C. Deutsch
Respondent(s): M. J. Whitman LLC
Respondent Lawyers(s): Jonathan Sack
Arbitrator(s): David E. Robbins, Oliver Wayne Williams, Harold Glenn Stafford
Hearing Site: New York, NY
| | |
| 09-00267 | 04/14/2010 | Claimant(s): Jo Ann Waggoner Trust dtd 04/24/1996
Claimant Lawyers(s): Scott R. Shewan
Respondent(s): The Seidler Companies Incorporated
Respondent Lawyers(s): Peter B. Dolan
Arbitrator(s): Richard J. Stall, Michael K. Zweig, Paul H. White
Hearing Site: Los Angeles, CA
| | $135,473 |
| 09-00634 | 04/14/2010 | Claimant(s): Joan Sharpless, J&J Trust
Claimant Lawyers(s): Stephen D. Phillabaum
Respondent(s): Ameriprise Financial Services., Centaurus Financial.
Respondent Lawyers(s): Courtney R. Reid, Shannon L. McDougald
Arbitrator(s): Jerome O. Cohen, Richard Lawrence Hinton, Stephen E. DeForest
Hearing Site: Seattle, WA
| | $58,800 |
