| 08-03676 | 02/22/2010 | Claimant(s): Mei-Fang Chan
Claimant Lawyers(s): Mei-Fang Chan
Respondent(s): Hugh Parish, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Thomas A. Snyder, Steven P. Gregory, John G. Manley
Hearing Site: Birmingham, AL
|  | $8,475 |
| 09-02837 | 02/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): L. Boyce
Respondent Lawyers(s): L. Marvin Boyce
Arbitrator(s): Bert S Cliff, John B. Glueckert, Gary R. Miles
Hearing Site: Charleston, WV
| | |
| 08-01986 | 02/19/2010 | Claimant(s): Abraham Macias
Claimant Lawyers(s): William Kimball
Respondent(s): Eric Wolfe, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): David G. Beerbower, John F. Hinrichs, Lynne M. Gomez
Hearing Site: Houston, TX
| | $63,617 |
| 08-03109 | 02/19/2010 | Claimant(s): Andrew Stein, Stein Holdings., Stein Investments
Claimant Lawyers(s): Caroline Smith Gidiere
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Colleen D. Hitch
Arbitrator(s): Myron S. Dunay, Paul W. Sterman, Bernice Leah Stander
Hearing Site: Boca Raton, FL
| | $2,500,000 |
| 09-00388 | 02/19/2010 | Claimant(s): Helen Prasil, John J. & Helen R. Prasil Rev.Trust
Claimant Lawyers(s): Christopher T Davis
Respondent(s): Ameriprise Financial Services., John Janes, Kari Douglas, Patty Nash, Randall Ehleringer, Ehleringer, Douglas & Associates
Respondent Lawyers(s): Howard M. Klausmeier
Arbitrator(s): Emily F. Seesel, Joyce G. Gordon, Richard W. Thiele
Hearing Site: Minneapolis, MN
| | Stipulated Award and Expungement |
| 09-01447 | 02/19/2010 | Claimant(s): Annette Hines
Claimant Lawyers(s): Lee Bowie
Respondent(s): Ladd Grapski, FFP Securities., First Allied Securities.
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Clayton J. Borne
Hearing Site: Jackson, MS
| | $26,150 |
| 08-02932 | 02/18/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): James Patton
Respondent Lawyers(s): Lisa Bond
Arbitrator(s): Basil Lewis, Willard H. Altman, James Belk
Hearing Site: Los Angeles, CA
| | |
| 08-04560 | 02/18/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Trizila
Respondent Lawyers(s): Kevin M. Trizila
Arbitrator(s): William E. Barker, Todd R. Gough, Karen J. Zvonecek
Hearing Site: Dallas, TX
| | |
| 09-02848 | 02/18/2010 | Claimant(s): William Ortner
Claimant Lawyers(s): Jonathan S. Shapiro
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Michael G. Shannon, Linda R. Alpert, Kinchen C. Bizzell
Hearing Site: New York, NY
| | |
| 09-04061 | 02/18/2010 | Claimant(s): Joel Handorf
Claimant Lawyers(s): Eric A. Michaels
Respondent(s): Charles Luttjohann, Charles D. Luttjohann, IRRA
Respondent Lawyers(s): Martin B. Greenbaum
Arbitrator(s): Charles D. Underwood, Matthew Harold Fields
Hearing Site: Columbus, OH
| | Expungement |
