| 07-00999 | 01/29/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Judy Louie
Respondent(s): Stephen Whitman
Respondent Lawyers(s): Neda Ataie
Arbitrator(s): Harvey C. Flodin, Joseph T. Donnantuoni, Kevin K. Forrester
Hearing Site: San Diego, CA
| | |
| 09-00405 | 01/29/2010 | Claimant(s): J. Benefield, Mary Benefield, The Benefield Family Trust
Claimant Lawyers(s): Martin B. Greenbaum, Ron Miller
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Chad Weaver
Arbitrator(s): Vincent J. Natoli, Ronald F. Rybandt, Steven J. Feldman
Hearing Site: Los Angeles, CA
|  | $366,840 |
| 09-02769 | 01/29/2010 | Claimant(s): Robert I. Simon, M.D.
Claimant Lawyers(s): John M. Fedders
Respondent(s): Benjamin White, John Clardy, Thomas Wallace, Johnston, Lemon & Co. Incorporated
Respondent Lawyers(s): Douglas K. Spaulding, Joseph A. Ingrisano
Arbitrator(s): Edward M. Statland, Arnold Samuel Tesh, Wilson Thompson
Hearing Site: Washington, DC
| | $175,000 |
| 08-03530 | 01/28/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Thomas Barnett
Respondent(s): John Wilfong
Respondent Lawyers(s): R. Layne Holley
Arbitrator(s): J. Maxwell Williams, Patricia Best Vital, Todd Edward Phillips
Hearing Site: Memphis, TN
| | |
| 09-02220 | 01/28/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William McCourt Schmitt
Respondent(s): Richard Paul
Respondent Lawyers(s): Richard Aaron Paul
Arbitrator(s): G. Robert Abrams
Hearing Site: Memphis, TN
| | |
| 09-00854 | 01/28/2010 | Claimant(s): Geraldine Kolikow Ttee F/B/O Kolikow Tr
Claimant Lawyers(s): Carlos H. Gamez
Respondent(s): John Sullivan, H&R Block Financial Advisors.
Respondent Lawyers(s): Howard Klausmeier
Arbitrator(s): Elena G. Rodriguez, George H. Rausch, James Conrad Sankpill
Hearing Site: Miami, FL
| | Expungement |
| 08-02464 | 01/28/2010 | Claimant(s): Katy Bekiarides
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Robert M. Brennan
Arbitrator(s): Craig Scott Bartlett, Ronald Citron, Maurice J. Frank
Hearing Site: Newark, NJ
| | $0 |
| 09-03374 | 01/28/2010 | Claimant(s): Ira L Goodman Rev. Trust
Claimant Lawyers(s): Ira Goodman
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai Klaassen
Arbitrator(s): Willy Nordwind
Hearing Site: Phoenix, AZ
| | $0 |
| 06-04728 | 01/27/2010 | Claimant(s): Travelers Casualty and Surety Company, Wilbanks Securities.
Claimant Lawyers(s): Andrew J. Waldron, Bruce W. Day
Respondent(s): AXA Advisors
Respondent Lawyers(s): Thomas R. Cox
Arbitrator(s): David G. Ritchie, Robert Steven Haught, Richard L. Andeel
Hearing Site: Oklahoma City, OK
| | |
| 08-03088 | 01/27/2010 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Joshua A. Katz
Respondent(s): Richard Darquea
Respondent Lawyers(s): Richard Darquea
Arbitrator(s): Michael A. Levin, Robert A. Fabricant, Arthur L. Tepper
Hearing Site: Boca Raton, FL
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