| 09-03505 | 12/17/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): David Jeromin
Respondent Lawyers(s): David John Jeromin
Arbitrator(s): Charles E. Farnsworth
Hearing Site: San Francisco, CA
| | |
| 08-04209 | 12/17/2009 | Claimant(s): Odeen Manning, The Odeen Manning Family LP
Claimant Lawyers(s): Joel A. Goodman
Respondent(s): Hornor, Townsend & Kent.
Respondent Lawyers(s): George D. Fagan
Arbitrator(s): Paul H. Lamboley, Stephen F. Kempa, Seymour A. Kolman
Hearing Site: Las Vegas, NV
|  | $895,000 |
| 07-01452 | 12/17/2009 | Claimant(s): L. James Reese Revocable Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Melford V. McCormick, David B. Lacks, Michael A. Kleinman
Hearing Site: Kansas City, MO
| | $0 |
| 08-03576 | 12/17/2009 | Claimant(s): Christine M. Dann Trust U/A DTD 10/04/06
Claimant Lawyers(s): Kirk G. Smith
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Gary F. Lang, Gayle B. Carlson, Charles W. Lavender
Hearing Site: Orlando, FL
| | $0 |
| 09-01005 | 12/17/2009 | Claimant(s): Richard B. Stickel Revocable Liv. Trust, Susan H. Stickel Revocable Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): John Daly
Hearing Site: New York, NY
| | $213 |
| 08-02054 | 12/16/2009 | Claimant(s): Peter Hickey
Claimant Lawyers(s): Sean F. O'Shea
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): Theodor Brown, Jeffrey G. Sommers, Gelvin L. Stevenson
Hearing Site: New York, NY
| | |
| 08-02081 | 12/16/2009 | Claimant(s): John Yarbrough
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Melanie L. Ronen
Arbitrator(s): Kenneth E. Owen, David W. Casey, Karen J. Burneff
Hearing Site: Los Angeles, CA
| | |
| 09-02434 | 12/16/2009 | Claimant(s): Keith Zuckerberg
Claimant Lawyers(s): Keith Zuckerberg
Respondent(s): Euro-Atlantic Securities., Meyers Pollock Robbins.
Respondent Lawyers(s): Mary Lyn Villanueva, Michael Ploshnick
Arbitrator(s): Richard A. Jacobs
Hearing Site: New York, NY
| | |
| 09-02686 | 12/16/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph D. MacLellan
Respondent(s): Mark Amrhein
Respondent Lawyers(s): Mark Amrhein
Arbitrator(s): Jack Friedman, Michelle Jacobowitz Gallagher, John Carl Cirincion
Hearing Site: New York, NY
| | $0 |
| 09-01030 | 12/16/2009 | Claimant(s): Dean Hart
Claimant Lawyers(s): Dean E. Hart
Respondent(s): Chase Investment Services Corp.
Respondent Lawyers(s): Sheila E. Carson
Arbitrator(s): Paul S. Biederman
Hearing Site: New York, NY
| | $5,000 |
