| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
|  | $174,766 |
| 08-00674 | 12/02/2009 | Claimant(s): Alma F. Hollingsworth, IRA, Paul Hollingsworth, Paul and Alma F. Hollingsworth, Trustees
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): David W. Stanton, Belinda M. Ohlinger, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $57,882 |
| 08-03899 | 12/02/2009 | Claimant(s): Kanella Sarros, Kanella V. Sarros 403B, Kanella V. Sarros Roth IRA, Sarros Family Trust dtd 10/03/2001
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Ruthe Gomez, Advisory Financial Consultants.
Respondent Lawyers(s): Christopher Mader
Arbitrator(s): Mitchell S. Ostwald, Benjamin Slomoff, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $73,606 |
| 09-02227 | 12/02/2009 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Martin Feinberg
Respondent Lawyers(s): Martin Feinberg
Arbitrator(s): David E. Robbins
Hearing Site: New York, NY
| | $0 |
| 09-03304 | 12/02/2009 | Claimant(s): Michael & Nancy DeSimone
Claimant Lawyers(s): Michael G. DeSimone
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $75 |
| 09-03307 | 12/01/2009 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher Massey
Respondent(s): Darryl Wise
Respondent Lawyers(s): Darryl C. Wise
Arbitrator(s): Paul K. Barenholtz
Hearing Site: New York, NY
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| 07-02960 | 12/01/2009 | Claimant(s): Trinity United Methodist Church
Claimant Lawyers(s): Thomas C. Wagner
Respondent(s): George Franz, Allegheny Investments, LTD
Respondent Lawyers(s): Ari H. Jaffe, James F. Koehler
Arbitrator(s): Jeffrey M. Bain, Thomas R. Skulina
Hearing Site: Cleveland, OH
| | $110,900 |
| 09-03491 | 12/01/2009 | Claimant(s): Walter Miksovsky
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Carl G. Mohr
Hearing Site: Des Moines, IA
| | $24,199 |
| 09-02039 | 12/01/2009 | Claimant(s): Lee Crawford
Claimant Lawyers(s): Lee Ryan Crawford
Respondent(s): Deborah Calder, U.S. Bancorp Investments.
Respondent Lawyers(s): Jill R. Yutzy
Arbitrator(s): G. E. Craig Doupe
Hearing Site: Seattle, WA
| | $1 |
| 08-03045 | 11/30/2009 | Claimant(s): J.B. Hanauer & Co.
Claimant Lawyers(s): Joseph F. Keenan
Respondent(s): Robert Grossman
Respondent Lawyers(s): Evan S. Neadel
Arbitrator(s): James J. Noone, Herbert Z. Geiger, John W. Thomas
Hearing Site: Newark, NJ
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