| 09-02470 | 11/04/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Kurt Wallen
Respondent Lawyers(s): Kurt David Wallen
Arbitrator(s): Jonathan H. Stein
Hearing Site: Tampa, FL
| | |
| 09-02872 | 11/04/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Brian Steed
Respondent Lawyers(s): Brian C. Steed
Arbitrator(s): Michael S. Hill
Hearing Site: Boca Raton, FL
| | |
| 08-02547 | 11/04/2009 | Claimant(s): Dana Gribi
Claimant Lawyers(s): Jack W. Cunningham
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): David R. Maurer
Arbitrator(s): Donald K. Eckhardt, Martin Samuel Altimore, Jeffrey R. Jury
Hearing Site: Houston, TX
|  | $7,500 |
| 08-03169 | 11/04/2009 | Claimant(s): Larry Martinez
Claimant Lawyers(s): Timothy A. Canning
Respondent(s): Arthur Aldatz, James Gallo, Jeffrey Greeney, Sean Harrison, Thomas Rubin, Troy Rasmusen, Westcap Securities.
Respondent Lawyers(s): Arthur Jess Aldatz, James Eugene Gallo, Thomas Seth Rubin
Arbitrator(s): William Ziering, Charles E. Farnsworth, Homer L. Davis
Hearing Site: San Francisco, CA
| | $87,760 |
| 08-03573 | 11/04/2009 | Claimant(s): Mary C. Wagner
Claimant Lawyers(s): Mary C. Wagner
Respondent(s): Michael Stebbins
Respondent Lawyers(s): Robert N. Mann
Arbitrator(s): David C. Rupley, Pamela M. Katzenberg, Robert W. Bruns
Hearing Site: Phoenix, AZ
| | $4,200 |
| 08-03507 | 11/04/2009 | Claimant(s): Lori Polen, Marion Buchanan
Claimant Lawyers(s): Richard P. Jeffries
Respondent(s): Sunset Financial Services.
Respondent Lawyers(s): John W. Shaw
Arbitrator(s): Jeffrey M. Bain, Michael D. Fitzgerald, Jeffrey C. Johnson
Hearing Site: Omaha, NE
| | $0 |
| 09-01122 | 11/04/2009 | Claimant(s): American Stone.
Claimant Lawyers(s): Jennifer M. Jordan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Daniel B. Berkson, Jeanne C. Miller, Joel P. Mellis
Hearing Site: New York, NY
| | $0 |
| 08-00027 | 11/03/2009 | Claimant(s): Betty Strong, Genevieve Strong, Larry Porter, Rita Porter, William Strong, The Strong Company., Murray Claycomb and Jeanne Claycomb, The William A. Strong Family, LLP, The Strong Company. Profit Sharing, The Strong Company. Retirement Plan, Betty Jane Jones Char. Remainder UniTRT, Sarah Strong Guy Char. Remainder Trust, The William A. Strong GST Trust 11/19/97, The William A. Strong GST Trust II, William A. Strong, Jr. Trust, William Strong Charitable RemainUnitrust, William/Genevieve Strong Foundation TRT
Claimant Lawyers(s): Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Patrice L. Stewart, Angelia J. Tolbert, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | $0 |
| 07-02366 | 11/02/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Michael H. Gibson
Respondent(s): Timothy Flick, Fulcrum Securities.
Respondent Lawyers(s): Matthew S. Hardin
Arbitrator(s): Michael J. Kelley, Paul Lansing, Richard Kammen
Hearing Site: Indianapolis, IN
| | |
| 09-02714 | 11/02/2009 | Claimant(s): Paul Strickland
Claimant Lawyers(s): Paul Strickland
Respondent(s): Crusader Securities
Respondent Lawyers(s): Blair A. West
Arbitrator(s): Mary L. Williams
Hearing Site: Honolulu, HI
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