| 09-03092 | 02/05/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Robert Mandeville
Respondent Lawyers(s): Robert Lee Mandeville
Arbitrator(s): Philip W. Burge, Jeffrey E. Skogsbergh, Gerald C. Tambe
Hearing Site: Los Angeles, CA
| | |
| 07-03122 | 02/05/2010 | Claimant(s): Alan Stroup
Claimant Lawyers(s): Anthony v. Trogan
Respondent(s): Frank Bluestein
Respondent Lawyers(s): David M. Foster
Arbitrator(s): Edward M. Olson, Keith J. Koerber, Robert L. Nichols
Hearing Site: Detroit, MI
|  | $240,872 |
| 08-04641 | 02/05/2010 | Claimant(s): Howard Schultz, Estate of Merle C. Schultz
Claimant Lawyers(s): Robert R. Riley
Respondent(s): Andrew Petrofsky, Norman Berk, Professional Asset Strategies
Respondent Lawyers(s): Lee R. Benton, Marion F. Walker
Arbitrator(s): John G. Manley, Charles M. Thompson, Lane A. Fentriss
Hearing Site: Birmingham, AL
| | $478,908 |
| 08-01764 | 02/05/2010 | Claimant(s): Kenneth A. Schwieterman
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Charles Schwab & Co.., Thompson Investment Advisors.
Respondent Lawyers(s): Matthew F. Coogle, Philip A. McLeod
Arbitrator(s): Frederick W. Snyder, R. Van Young, Billy G. Hopkins
Hearing Site: Louisville, KY
| | $0 |
| 08-03304 | 02/04/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Sandra David Siller
Respondent Lawyers(s): Sandra A. David Siller
Arbitrator(s): Thomas L. Curran, Morton D. Siegel, Dale W. Oliver
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-00868 | 02/04/2010 | Claimant(s): Robert Klein
Claimant Lawyers(s): John F. Hanzel
Respondent(s): TIAA-CREF
Respondent Lawyers(s): Felicia Washington
Arbitrator(s): Thomas W. Steed
Hearing Site: Charlotte, NC
| | |
| 09-01306 | 02/04/2010 | Claimant(s): Theodore Jung
Claimant Lawyers(s): Wray H. Kondo
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Peter H. Daly, Walter H. Ikeda, Charles Eugene Markley
Hearing Site: Honolulu, HI
| | |
| 09-01788 | 02/04/2010 | Claimant(s): Todd Silbergeld
Claimant Lawyers(s): Todd F. Silbergeld
Respondent(s): Brean Murray, Carret & Co., Llc.
Respondent Lawyers(s): Jason Canales
Arbitrator(s): Theodor Brown
Hearing Site: New York, NY
| | |
| 09-01970 | 02/04/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jason Warner
Respondent(s): Adam Wachtel
Respondent Lawyers(s): Michael C. Farkas
Arbitrator(s): Susan C. Lushing, Martin L. Feinberg, J. Scott Colesanti
Hearing Site: New York, NY
| | |
| 09-04432 | 02/04/2010 | Claimant(s): FSC Securities Corporation
Claimant Lawyers(s): Louis D. Tambaro
Respondent(s): Jeffrey Winter
Respondent Lawyers(s): Jeffrey Martin Winter
Arbitrator(s): Lee Hornberger
Hearing Site: Detroit, MI
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