| 07-02841 | 09/25/2009 | Claimant(s): Anthony McPherron, Specialty Orthopedics.
Claimant Lawyers(s): Anthony A. McPherron
Respondent(s): Duane Doroh, Jay Jensen, Philip Bieghler, Investment Planners., Sammons Securities Company
Respondent Lawyers(s): Damian A. Laugher, Joanna J. Cline, Kenneth F. Berg, Martin Q. Ryan, Todd M. Jackett
Arbitrator(s): Peter Ordower, Robert S. Sugarman, Ronald A. Lavery
Hearing Site: Chicago, IL
|  | $0 |
| 08-03840 | 09/25/2009 | Claimant(s): Robert Carlton, Jr. Residuray Trust
Claimant Lawyers(s): Burleigh T. Kay
Respondent(s): UBS Financial Services Inc., William Rector
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Wesley C. Wilson
Hearing Site: Richmond, VA
| | $0 |
| 07-03102 | 09/24/2009 | Claimant(s): Alberto Roque, Felipe Pazos, Patrick Grattan
Claimant Lawyers(s): Jason S. Haselkorn
Respondent(s): RBC Dain Rauscher., RBC Capital Markets LLC
Respondent Lawyers(s): Carolyn Guy, Donald S. Arbour
Arbitrator(s): Roy B. Gonas, Norman L. Weiss, Ted Romanos
Hearing Site: Miami, FL
| | |
| 08-00363 | 09/24/2009 | Claimant(s): Mr. Robert J. Kraus
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Christopher Fluehr, Suntrust Investment Services.
Respondent Lawyers(s): Richard H. Bergman
Arbitrator(s): Steven A. Hurst, Thomas Anthony Van Tiem, Mauricio Arcadier
Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
| 08-02775 | 09/24/2009 | Claimant(s): Zvi Osterweil
Claimant Lawyers(s): Rebecca C. Davis
Respondent(s): Citigroup Global Markets., Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger, Joseph L. Calabrese
Arbitrator(s): Joan M. Traub, Michael Ross, Charles F. Titterton
Hearing Site: New York, NY
| | $40,000 |
| 08-01911 | 09/24/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, John Loughran, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Jason D. Lane
Arbitrator(s): Earl S. Schwarz, Irene C. Warshauer, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-03444 | 09/23/2009 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Bruce Trang, Morgan Stanley & Co.
Respondent Lawyers(s): Peter M. Vial, Thomas V. Dulcich
Arbitrator(s): Thomas D. Loftus, Lawrence E. Little, Kay A. Johnson, CRCP
Hearing Site: Seattle, WA
| | |
| 08-04701 | 09/23/2009 | Claimant(s): Paul Edwards
Claimant Lawyers(s): Tanya Sacks
Respondent(s): Charles Schwab & Co.., Randall Merk, Rupesh Shah
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Ralph A. Cotton, Terry M Lloyd, Bradley C. Mitchell
Hearing Site: San Francisco, CA
| | $25,000 |
| 08-02448 | 09/23/2009 | Claimant(s): Ava Doppelt, Carl Napolitano, Herbert Allen, Michael Taylor, Richard Warther, Sandra Kemraj, Stephen Milbrath, 401k PSP & Trust for Employees
Claimant Lawyers(s): Neal J. Blaher
Respondent(s): Kimon Daifotis, Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Stan West, Irwin Baron, Mitchel Weiss
Hearing Site: Orlando, FL
| | $0 |
| 08-04436 | 09/23/2009 | Claimant(s): Ann Lerner
Claimant Lawyers(s): Ann Lerner
Respondent(s): Bear Stearns & Company.
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Allan E. Johnson, Barbara Sullivan-Parry, Edward A. Markward
Hearing Site: New York, NY
| | $0 |
