| 09-03944 | 03/22/2010 | Claimant(s): Jeffrey Kraemer, Linda Kraemer
Claimant Lawyers(s): Jeffrey Kraemer
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): John O. Murphy
Arbitrator(s): Tim V. Young
Hearing Site: Louisville, KY
|  | $59,251 |
| 09-05207 | 03/22/2010 | Claimant(s): Clarice Ujhelyi, Julius Ujhelyi, Clarice E. Ujhelyi Living Trust, Julius Ujhelyi Living Trust
Claimant Lawyers(s): Julius C. Ujhelyi
Respondent(s): TD Ameritrade., J.P. Morgan Securities, Manuel Gonzalez
Respondent Lawyers(s): Catherine Luth, Manuel Gonzalez, Matthew E. Wolper
Arbitrator(s): Patricia Gunn
Hearing Site: Orlando, FL
| | $0 |
| 08-02776 | 03/19/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Andrew Kistler, Brian Ainge, Charles Chambers
Respondent Lawyers(s): Edward Walton, Jody A. Rosen
Arbitrator(s): Caryl S. Bernstein, Baunita M. Greer, Karen L. Crump-Wilson
Hearing Site: Washington, DC
| | |
| 09-00813 | 03/19/2010 | Claimant(s): James Searcy IRA, James Searcy Revocable Trust u/a/d 12/01
Claimant Lawyers(s): David Liebrader
Respondent(s): George Manska, Citigroup Global Markets., Shirley Gilreath
Respondent Lawyers(s): Alejandro Schwed
Arbitrator(s): Howard W. Shannon, Alan J. Duncan, James H. McAvoy
Hearing Site: Las Vegas, NV
| | $523,000 |
| 09-02695 | 03/19/2010 | Claimant(s): Betty Thomas, Trini Thomas
Claimant Lawyers(s): Randall C. Place
Respondent(s): Donald Wojnowski, Eduardo Cabrera, Ronald Eiger, Todd Havemeister, Wofai Offem, Empire Financial Group., Jesup & Lamont Securities Corp
Respondent Lawyers(s): Sarah Y Khurana, Todd A. Zuckerbrod
Arbitrator(s): Paul E. Flora
Hearing Site: Orlando, FL
| | $140,225 |
| 08-02985 | 03/19/2010 | Claimant(s): David Goldberg & Rosalind Goldberg
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Cinnamon V. Davis
Arbitrator(s): Steven David Leader
Hearing Site: New York, NY
| | $0 |
| 08-04325 | 03/18/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Scotte Carter
Respondent Lawyers(s): Melanie C. Ross
Arbitrator(s): Larry Edmonson, Annette Gres Shepherd, Russell T. Doe
Hearing Site: Los Angeles, CA
| | |
| 09-05646 | 03/18/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Yana Kromo
Respondent(s): Daniel Ashby
Respondent Lawyers(s): Daniel Peter Ashby
Arbitrator(s): Mary Margaret Bush
Hearing Site: San Francisco, CA
| | |
| 08-03462 | 03/18/2010 | Claimant(s): Nagai Rajendran
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): Emmett A Larkin Company.
Respondent Lawyers(s): Jonathan Jacobson
Arbitrator(s): John J. Witkowski, Veera V. Konka, Mary Ellen Burns
Hearing Site: New York, NY
| | $388,560 |
| 09-00448 | 03/18/2010 | Claimant(s): Mark Rosenfeld and Mona Rosenfeld
Claimant Lawyers(s): Evan H. Lechtman
Respondent(s): Raymond, James & Associates., Norman Nelson
Respondent Lawyers(s): Erin Linehan
Arbitrator(s): John J. Jordan, Carol Corbett, Mary S. Wyatte
Hearing Site: Philadelphia, PA
| | $165,000 |
