| 08-01841 | 11/11/2009 | Claimant(s): Hilda Applbaum, Isaac Applbaum, The Applbaum Family Trust UAD 6/1/93
Claimant Lawyers(s): Robert A. Uhl
Respondent(s): Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Finan
Arbitrator(s): Nicholas J. Caputo, David R. Finch, Cheryl R. Kershner
Hearing Site: San Francisco, CA
|  | $0 |
| 08-02916 | 11/11/2009 | Claimant(s): Catherine Etheridge, Jeffrey Pollard, John Pollard, Mary Pollard, Mary Margaret Etheridge Custodial, Estate of Jane Thomason Pollard, Jeffrey Thomason Pollard IRA, Mary E. Pollard Contributory IRA
Claimant Lawyers(s): Henry Simpson
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): Maxel (Bud) B. Silverberg, Peter J. Conlon, Roland D. Freeman
Hearing Site: Dallas, TX
| | $0 |
| 08-04148 | 11/10/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Donald B. Wallace
Respondent(s): Charles Buckhannon
Respondent Lawyers(s): Rosemary Cook
Arbitrator(s): George N. Roy, Irving Mindes, Marc Kalish
Hearing Site: Phoenix, AZ
| | |
| 09-01912 | 11/10/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Alana Sanderson, Mark Bratton
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Mark C. Watler, Ross D. Friend, Oren L. Connaway
Hearing Site: Houston, TX
| | |
| 09-02065 | 11/10/2009 | Claimant(s): Edward Napier
Claimant Lawyers(s): Edward C. Napier
Respondent(s): Chase Investment Services Corp., Steve Schulman
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Phillip Lee Scheldt
Hearing Site: Dallas, TX
| | $24,339 |
| 08-03055 | 11/10/2009 | Claimant(s): Pope Resources LP
Claimant Lawyers(s): Martin S. Siegel
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Daniel Paul Harris, Paul R. Meyer, Robert W. Pillitteri
Hearing Site: Seattle, WA
| | $0 |
| 09-01725 | 11/10/2009 | Claimant(s): Michael Melman
Claimant Lawyers(s): Michael Melman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Andrew R. Dick
Hearing Site: Minneapolis, MN
| | $0 |
| 08-03921 | 11/09/2009 | Claimant(s): Ronald Hardy
Claimant Lawyers(s): Howard E. Greenberg
Respondent(s): Thomas Zulkowsky, Aura Financial Services.
Respondent Lawyers(s): Glenn M. Salvo, John Woodruff, Jr. Compliance
Arbitrator(s): Kathryn J. Hoy, Christine C. DeMoss, Jeffrey W. Jacobs
Hearing Site: Minneapolis, MN
| | $115,923 |
| 09-00235 | 11/09/2009 | Claimant(s): Nickolas J. Batis and Carol Ann Batis
Claimant Lawyers(s): Arnold Y. Steinberg
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Stanley Yorsz
Arbitrator(s): Karl F. Meyers, Kevin R. McDermott, Christopher Lepore
Hearing Site: Pittsburgh, PA
| | $3,193 |
| 09-00947 | 11/09/2009 | Claimant(s): Thomas Zulkosky
Claimant Lawyers(s): J. Jackson
Respondent(s): Ronald Hardy, Aura Financial Services.
Respondent Lawyers(s): Howard E. Greenberg, John Woodruff, Jr. Compliance
Arbitrator(s):
Hearing Site: Minneapolis, MN
| | $115,923 |
