| 08-02559 | 04/08/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Peter Byer
Respondent(s): Mark Adams
Respondent Lawyers(s): Mark Allen Adams
Arbitrator(s): Robert Goldberg, Dallas Whitney Coffman, Patrick W. McKeon
Hearing Site: Boston, MA
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| 09-05188 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Jeffery Westerman
Respondent Lawyers(s): Jeffery Luke Westerman
Arbitrator(s): Robert P. Fogarty, Alex H. Keller, Dale A. Crawford
Hearing Site: Columbus, OH
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| 09-05258 | 04/08/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): David Moore
Respondent Lawyers(s): David N. Moore
Arbitrator(s): W. Pat Conners, Thomas J. McAllister, Erwin John Dugasz
Hearing Site: Columbus, OH
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| 09-06009 | 04/08/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Jeffrey F. Manzella
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
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| 07-03068 | 04/08/2010 | Claimant(s): Gregory Hunter, Virginia Hunter
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Gunnallen Financial., Questar Capital Corporation
Respondent Lawyers(s): Daniel J. Supalla, William J. Schifino
Arbitrator(s): Peter S. Viviano, Martin Brosnan, Veronique M. Liem
Hearing Site: Detroit, MI
|  | $94,150 |
| 09-01842 | 04/08/2010 | Claimant(s): Domiciano Redondo
Claimant Lawyers(s): Allan P. Whitehead
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Ronald D. Shildler
Arbitrator(s): Constance d'Angelis, Lewis W. Slaughter, Charles R. Tindell
Hearing Site: Orlando, FL
| | $102,850 |
| 09-05334 | 04/08/2010 | Claimant(s): Michael M. Crenshaw and Beth R. Crenshaw
Claimant Lawyers(s): Michael M Crenshaw
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): William H. McCarter
Hearing Site: Boston, MA
| | $213 |
| 07-00478 | 04/07/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Michael Jake Ewart
Respondent(s): Jodie Cohen, Nathan Lorbietzki, Robert Barron
Respondent Lawyers(s): L. Christopher Rose, Michael Jake Ewart
Arbitrator(s): Alan J. Duncan, William E. Winfield, David L. Moran
Hearing Site: Las Vegas, NV
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| 08-00303 | 04/07/2010 | Claimant(s): Hansueli Overturf
Claimant Lawyers(s): Timothy A Canning
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Debra V. Achkire
Arbitrator(s): Helen Marinak Blohm, Ralph A. Cotton, Osei J Adoma
Hearing Site: San Francisco, CA
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| 08-01232 | 04/07/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Thomas Hicks III
Respondent Lawyers(s): Thomas G. Hicks
Arbitrator(s): Victor B. Taube, Barry A. Mainardi, Vincy S. Stringham
Hearing Site: Salt Lake City, UT
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