| 08-03605 | 10/05/2009 | Claimant(s): Donna G. Leinart-Clegg, Indiv. &
Claimant Lawyers(s): Mark E. Maddox
Respondent(s): Mark Mills, Waterstone Financial Group
Respondent Lawyers(s): David J. Freniere, Mark Wayne Mills
Arbitrator(s): Sharon R. Merriman, Kathleen A. DeLaney, James A. Morrow
Hearing Site: Indianapolis, IN
|  | $500,000 |
| 09-01859 | 10/05/2009 | Claimant(s): James Uehlein
Claimant Lawyers(s): James R. Uehlein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): A. Robert Stevenson
Hearing Site: Detroit, MI
| | $1,925 |
| 07-03322 | 10/05/2009 | Claimant(s): Brenda K. Gaidmore, IRA, Gerald P. Gaidmore
Claimant Lawyers(s): Gerald P. Gaidmore
Respondent(s): A.G. Edwards & Sons., Paul Bedinger, Richard Iannacone
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Brian J. Dunn, Michael Dell'Olio, Joseph Charles Kennedy
Hearing Site: Manchester, NH
| | $0 |
| 09-00022 | 10/05/2009 | Claimant(s): David Thompson
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Pavek Investments Inc.
Respondent Lawyers(s): Peter B. Shaeffer
Arbitrator(s): John E. Sundeen, John F Fennig, Leonard G. Leverson
Hearing Site: Milwaukee, WI
| | $0 |
| 08-04657 | 10/02/2009 | Claimant(s): Stanley Gregor
Claimant Lawyers(s): Joseph Sullivan
Respondent(s): Commerce Capital Markets.
Respondent Lawyers(s): Joseph G. Antinori
Arbitrator(s): Benham Fuhrman, John James McGovern, Stephen J. Scherf
Hearing Site: Philadelphia, PA
| | |
| 09-00253 | 10/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Gabrell Chambers
Respondent Lawyers(s): Gabrell Christian Chambers
Arbitrator(s): Kenneth D. Bingham, David B. Dyer, David R. Steckler
Hearing Site: Dallas, TX
| | |
| 09-01574 | 10/02/2009 | Claimant(s): Bryant North
Claimant Lawyers(s): Bryant Charles North
Respondent(s): Alan Parker
Respondent Lawyers(s): Alan R. Parker
Arbitrator(s): George S. Willingham, Daniel H. Kolber, Royce Alan Burns
Hearing Site: Atlanta, GA
| | |
| 08-00578 | 10/02/2009 | Claimant(s): The Arthur G. Schmidt Living Trust
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Patrick Dorcey, Edward Jones
Respondent Lawyers(s): Bradley J. Schram
Arbitrator(s): Robert J. Scafuri, Lawrence George Kloth, Lee Hornberger
Hearing Site: Detroit, MI
| | $50,000 |
| 08-01298 | 10/02/2009 | Claimant(s): Helen DeCarlo
Claimant Lawyers(s): Mark S. Guralnick
Respondent(s): Ameriprise Financial Services., Mark Marshall, Tom Romanac
Respondent Lawyers(s): Geddes D. Anderson
Arbitrator(s): Christopher M. Shulman, Paul A. Holmes, Alan E. Linden
Hearing Site: Orlando, FL
| | Stipulated Award and Expungement |
| 08-02173 | 10/02/2009 | Claimant(s): Laurence Rivkin, the IRA Rollver, LNR Family Trust dtd 08/02/1987
Claimant Lawyers(s): Brian D. Miller
Respondent(s): Charles Schwab & Co.., Charles Schwab Investment Management Inc, The Charles Schwab Corporation
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Judith A. Gust, Steven A. Fox, Michael D. Briggs
Hearing Site: San Diego, CA
| | $327,245 |
