| 09-04981 | 03/31/2010 | Claimant(s): Carol Kroptavich, Ronald Kroptavich, IRA FBO Ronald Kroptavich
Claimant Lawyers(s): John McGovern
Respondent(s): Ronald Paull
Respondent Lawyers(s): Dianna D. McCarthy
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
|  | $10,213 |
| 09-01467 | 03/31/2010 | Claimant(s): Faye Ruback
Claimant Lawyers(s): David A. Weintraub
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): John R. Loss, Jeffrey C. Johnson, Rebecca Sue Abell-Brown
Hearing Site: Omaha, NE
| | $0 |
| 09-05203 | 03/31/2010 | Claimant(s): Timothy Makas
Claimant Lawyers(s): Timothy Makas
Respondent(s): Richard Netter, Senate Securities
Respondent Lawyers(s): Richard M. Netter
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
| 09-05973 | 03/31/2010 | Claimant(s): David G. Steakley and Paula B. Steakley
Claimant Lawyers(s): David G. Steakley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Robert Matthews
Arbitrator(s): Philip I. McConnell
Hearing Site: Houston, TX
| | $0 |
| 09-01995 | 03/30/2010 | Claimant(s): Karen Hankinson
Claimant Lawyers(s): Karen R. Hankinson
Respondent(s): Kathleen Mcpherson, Kenneth Brown, Russell Riccobono, Scott Brooks, Stanley Brooks, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Donald E. Hemke, H. Thomas Fehn, Kathleen Margaret McPherson, Russell Robert Riccobono, Steve Skytte
Arbitrator(s): Thomas H. McAvoy, Michael D. Hamilton, Laurent Taylor
Hearing Site: Tampa, FL
| | |
| 10-01047 | 03/30/2010 | Claimant(s): BB&T Investment Services.
Claimant Lawyers(s): T.Jonathan Adams
Respondent(s): Wells Fargo Advisors, Gray Daus
Respondent Lawyers(s): David W. Erb
Arbitrator(s): Robert S. Zuckerman, Robert A. Ames, Celeste A. Beron
Hearing Site: Charlotte, NC
| | |
| 08-04948 | 03/30/2010 | Claimant(s): The Westervelt Company
Claimant Lawyers(s): Peter R. Sonderby
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Jonathan Rosenberg
Arbitrator(s): Kendall P. Hill, Fred M. Ridolphi, M. Bruce Adelberg
Hearing Site: Birmingham, AL
| | $6,025,000 |
| 09-02446 | 03/30/2010 | Claimant(s): Snehal Patel
Claimant Lawyers(s): Snehal Patel
Respondent(s): Westrock Advisors.
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
| | $240 |
| 09-03448 | 03/30/2010 | Claimant(s): Rita Kaufman
Claimant Lawyers(s): Jill Gross
Respondent(s): Alfred Kelly, Citigroup Global Markets.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): David I. Goldblatt
Hearing Site: New York, NY
| | $0 |
| 09-00047 | 03/29/2010 | Claimant(s): S. L. Reed & Company, Windward Capital Management Co.
Claimant Lawyers(s): Daniel K. Dik
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Jeffrey K. Riffer
Arbitrator(s): Blaine Smith, J. Jean Elliott, Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | |
