| 08-04143 | 02/03/2010 | Claimant(s): Credit Suisse Securities (USA) LLC
Claimant Lawyers(s): Mary Gail Gearns
Respondent(s): Vita Health of America
Respondent Lawyers(s): Ronald Feldstein
Arbitrator(s): Howard Breindel, Lynne M. Reid-McQueen, Judith C. Greene
Hearing Site: New York, NY
|  | $0 |
| 08-01361 | 02/03/2010 | Claimant(s): Michael Bond and Margaret Bond
Claimant Lawyers(s): Garry R. Appel
Respondent(s): UBS Securities LLC, UBS Financial Services Inc.
Respondent Lawyers(s): Terry Ross
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $244,300 |
| 09-00272 | 02/03/2010 | Claimant(s): Margery Binch
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Beverly S. Gordon, Cindy L. Anderson, Dennis R. Nolte
Hearing Site: Orlando, FL
| | $50,300 |
| 09-00708 | 02/03/2010 | Claimant(s): The Horowitz Family Trust
Claimant Lawyers(s): Robyn C. Crowther
Respondent(s): Jerry Anderson, E*Trade Securities LLC, Marcus Hernandez, Robert Trent, Steven Christensen
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Robin Lynn Berry, Steven K. McGinnis, John J. Shook
Hearing Site: San Francisco, CA
| | $643,950 |
| 08-02486 | 02/03/2010 | Claimant(s): Clifford D. Spikes and Nancy P. Spikes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth Rose Aylett
Arbitrator(s): David P. McDuffee, Patricia Ann Tracey, Frank H. Livingston
Hearing Site: Raleigh, NC
| | $300 |
| 08-04450 | 02/02/2010 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): D. Daxton White
Respondent(s): Derek Difani
Respondent Lawyers(s): Derek J. Difani
Arbitrator(s): William Montgomery
Hearing Site: Los Angeles, CA
| | |
| 09-00298 | 02/02/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Jason Kraskiewicz
Respondent Lawyers(s): Jason N. Kraskiewicz
Arbitrator(s): Bruce M. Alster
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-04794 | 02/02/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Joseph Dorrycott
Respondent Lawyers(s): Joseph M. Dorrycott
Arbitrator(s): Bert S Cliff
Hearing Site: Pittsburgh, PA
| | |
| 09-04841 | 02/02/2010 | Claimant(s): Variable Investment Advisors.
Claimant Lawyers(s): Gregory S. Wilson
Respondent(s): Cynthia Stevens-Montgomery
Respondent Lawyers(s): Cynthia Marie Stevens-Montgomery
Arbitrator(s): John W. MacKimm
Hearing Site: Rapid City, SD
| | |
| 09-01900 | 02/02/2010 | Claimant(s): Elizabeth Roth
Claimant Lawyers(s): J. Christopher Wehrle
Respondent(s): J.J.B. Hilliard, W.L. Lyons, Leonard Mcgehee
Respondent Lawyers(s): Tonya J. Austin
Arbitrator(s): M. Eileen Dorsey, Marilyn T. Selby, Robert W. Dempsey
Hearing Site: St. Louis, MO
| | $30,000 |
