| 08-03766 | 10/12/2009 | Claimant(s): Karen Kennedy, Karen Muto Kennedy, Roth IRA, Trustee RMA Acct., Trustee of Mge Acct
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Lee H. Goodman, Jacqueline Stanley Lustig, Samuel Olutola Akeju
Hearing Site: Chicago, IL
|  | $0 |
| 08-03867 | 10/12/2009 | Claimant(s): Sandra Muns
Claimant Lawyers(s): Sandra Muns
Respondent(s): Tyler Johns, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Leonard J. Sullivan
Hearing Site: Houston, TX
| | $0 |
| 09-00599 | 10/12/2009 | Claimant(s): The David & Catherine Moussazadeh Founda
Claimant Lawyers(s): David Moussazadeh
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): C. Evan Stewart
Arbitrator(s): Donald J. Zoeller
Hearing Site: New York, NY
| | $0 |
| 06-02076 | 10/09/2009 | Claimant(s): Eugene Ross
Claimant Lawyers(s): Eugene C. Ross
Respondent(s): Bear Stearns & Co..
Respondent Lawyers(s): Kevin B. Leblang
Arbitrator(s): Susan C. Lushing, David I. Goldblatt, Thomas A. Abitabile
Hearing Site: New York, NY
| | |
| 08-03063 | 10/09/2009 | Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Michael Hill
Respondent(s): Neal Smalbach
Respondent Lawyers(s): Neal S. Smalbach
Arbitrator(s): Steven Ira Weinberger, Richard A. Stephens, R. Christopher Laux
Hearing Site: Boca Raton, FL
| | |
| 09-02556 | 10/09/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Frederick Scholer
Respondent Lawyers(s): Frederick Scholer
Arbitrator(s): Judith A. Payuk, Alan B. Fender, Susan Elaine Mersereau
Hearing Site: Des Moines, IA
| | |
| 08-01294 | 10/09/2009 | Claimant(s): Joseph Wayne Smith and Carol C. Smith
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Steve R. Neuman, Keith E. Robinson, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $40,000 |
| 08-03841 | 10/09/2009 | Claimant(s): Shannon L. Nichols Trust
Claimant Lawyers(s): Jan Graham
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joseph L. Hood, William A. Hohauser
Arbitrator(s): Ross W. Cannon, Kevin D. Swenson, Janet M. Thompson
Hearing Site: Salt Lake City, UT
| | $296,890 |
| 08-04508 | 10/09/2009 | Claimant(s): Elva Vasquez
Claimant Lawyers(s): Randall A. Pulman
Respondent(s): Chase Investment Services Corp., Jonathan Cromwell, Thomas Davila
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Randall W Heinrich, James Sean Healey, William Richard Smith
Hearing Site: Houston, TX
| | $75,000 |
| 08-02880 | 10/08/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Becker
Respondent Lawyers(s): William L. Hickman
Arbitrator(s): Michael E. Nelson, Charles H. Lewis, Glenn E. Johnson
Hearing Site: Oklahoma City, OK
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