| 08-04609 | 03/23/2010 | Claimant(s): Jan Carr
Claimant Lawyers(s): Anthony B. Haller
Respondent(s): Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Elliot B. Platt, John L. Braxton, Howard B. Scherer
Hearing Site: Philadelphia, PA
| | |
| 09-00752 | 03/23/2010 | Claimant(s): Harry Lockmann
Claimant Lawyers(s): Arthur S. Leider
Respondent(s): Mark Holland, Banc of America Investment Services Inc.
Respondent Lawyers(s): Casey L. Moore, Stephen M. Dollar
Arbitrator(s): Stephen R. Clark, Kelly A. Barker, William L. Merkin
Hearing Site: San Diego, CA
|  | $32,230 |
| 09-04250 | 03/23/2010 | Claimant(s): Shea Schulman
Claimant Lawyers(s): Lisa Catalano
Respondent(s): Laurence Levy, Edward Jones
Respondent Lawyers(s): Mark G. Vaughan
Arbitrator(s): Martin Jay Siegel
Hearing Site: New York, NY
| | $19,029 |
| 09-01425 | 03/23/2010 | Claimant(s): Earl Smith
Claimant Lawyers(s): John C. Randall
Respondent(s): Brian Fehr, Donna Givner, TD Ameritrade.
Respondent Lawyers(s): Amanda G. Ray
Arbitrator(s): Leonard E. Benade, Robert P. Porter, David P. McDuffee
Hearing Site: Raleigh, NC
| | $0 |
| 09-02004 | 03/23/2010 | Claimant(s): Joseph Schuessler and Diane Schuessler
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Jill R. Yutzy
Arbitrator(s): Richard E. Conner
Hearing Site: Boca Raton, FL
| | $0 |
| 09-04998 | 03/23/2010 | Claimant(s): Stifel, Nicolaus & Co..
Claimant Lawyers(s): Jeffrey C. Primiano
Respondent(s): Anthony Amato, Irene Kim
Respondent Lawyers(s): Ross P. Solomon, Thomas J. Rossi
Arbitrator(s): Henry F. Minnerop, Roger M. Deitz, Arthur D. Sporn
Hearing Site: New York, NY
| | $0 |
| 09-00389 | 03/22/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Gregory M. Curley
Respondent(s): Jacqueline Prue, Sherman Wang
Respondent Lawyers(s): Jacqueline Smith Prue, Sherman William Wang
Arbitrator(s): Edith M. Gunn, Ellen Slipp, Jerry M. Greenspan
Hearing Site: New York, NY
| | |
| 07-01216 | 03/22/2010 | Claimant(s): Herbert and Dorthy Thiry
Claimant Lawyers(s): Clinton W. Marrs
Respondent(s): Robert Schultz, Scott Magallanes, Steve Skytte, Brookstreet Securities Corporation
Respondent Lawyers(s): Elizabeth Lowery, H Thomas Fehn, Scott Lee Magallanes, Steve Skytte
Arbitrator(s): James B. Vessey, Jonathan H. Larson, Barry H. Barnett
Hearing Site: Albuquerque, NM
| | $135,000 |
| 07-02801 | 03/22/2010 | Claimant(s): David Gipson
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Frank Bluestein, Gunnallen Financial., Questar Capital Corporation
Respondent Lawyers(s): Daniel J. Supalla, David M. Foster, Suzanne Walsh
Arbitrator(s): Edward M. Olson, Joseph R. Papo, Martin Brosnan
Hearing Site: Detroit, MI
| | $588,490 |
| 09-00728 | 03/22/2010 | Claimant(s): Dale Z. Jablonski, Indiv & as TTEE of, Dale and Mary L. Jablonski , Indiv and
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s): Michael Czerny
Respondent Lawyers(s): Michael Kipland Czerny
Arbitrator(s): Robert J. Scafuri, Eric S. Richards, Barbara A. Johannessen
Hearing Site: Detroit, MI
| | $150,000 |
