| 08-03262 | 11/12/2009 | Claimant(s): Jose Orlando Aguirre, Williams Baina Antezana
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Hector Gallardo
Respondent Lawyers(s): Hector J. Gallardo
Arbitrator(s): Bernard Hornick, Gail E. Sasnett-Stauffer, James P. Ryan
Hearing Site: Orlando, FL
|  | $876,774 |
| 08-04398 | 11/12/2009 | Claimant(s): Northern Oil and Gas.
Claimant Lawyers(s): Matthew T. Boos
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Terrence J. Fleming
Arbitrator(s): Douglas G. Plank, Emily F. Seesel, Duane W. Krohnke
Hearing Site: Minneapolis, MN
| | $875,352 |
| 09-00764 | 11/12/2009 | Claimant(s): Kenneth Langone
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Wendy R. Robinson
Arbitrator(s): Howard W. Shannon, Linda M. Parker, Allan D. Breyer
Hearing Site: Phoenix, AZ
| | $16,800 |
| 08-04393 | 11/11/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Catania T. Facher
Respondent(s): John Leonetti
Respondent Lawyers(s): Paul J. Vincenti
Arbitrator(s): Richard J. Grahn, Marilyn H. Zuckerman, Dennis R. Surprenant
Hearing Site: Boston, MA
| | |
| 09-00550 | 11/11/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): William Stroup
Respondent Lawyers(s): William Clayton Stroup
Arbitrator(s): Frank F. Foys, Robert B. Schmidt, Suanne F. Goldman
Hearing Site: Chicago, IL
| | |
| 09-02026 | 11/11/2009 | Claimant(s): Timothy Parker
Claimant Lawyers(s): Timothy E Parker
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Cathy Gress Springer
Arbitrator(s): Jerry M. Helfand
Hearing Site: Minneapolis, MN
| | |
| 09-02803 | 11/11/2009 | Claimant(s): Max International Broker/dealer Corp.
Claimant Lawyers(s): David Isolano
Respondent(s): Moulero Zossou
Respondent Lawyers(s): Moulero Uh Zossou
Arbitrator(s): Anthony Michael Sabino
Hearing Site: New York, NY
| | |
| 07-01272 | 11/11/2009 | Claimant(s): Billy House, Curley Bernard, David Gallien, George Terry, Gordie Greening, Gregory Bonnett, Judy Casey, Linda Corley, Michael Gilcrease, Roger House
Claimant Lawyers(s): Lee Bowie
Respondent(s): ENTERED IN ERROR, Gregory Hildebrand, Peter Dahlstrom, Intersecurities.
Respondent Lawyers(s): Burton W. Wiand, Katherine C. Donlon, Lee Bowie
Arbitrator(s): Nicole T. LeBoeuf, James W. Kerr, Larry N. Quinn
Hearing Site: Dallas, TX
| | Dismissed by Rule 12206 |
| 08-01423 | 11/11/2009 | Claimant(s): William Smythe, Smythe Children's Trust #2 FBO Katherine, William H. Smythe, IV Trust DTD 12/29/87
Claimant Lawyers(s): Jan Douglas Atlas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John S. Golwen
Arbitrator(s): Michael S. Hill, Eric Spencer Buchanan, Eugene R. Katz
Hearing Site: Memphis, TN
| | $912,160 |
| 09-00958 | 11/11/2009 | Claimant(s): Sandra Slayton
Claimant Lawyers(s): Erienne J. Roberts
Respondent(s): Wachovia Securities, Evelyn Scarborough, Tom Greasor
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
| | $9,443 |
