| 08-03406 | 07/30/2009 | Claimant(s): Larry Overbay
Claimant Lawyers(s): Larry W. Overbay
Respondent(s): Danielle Newman, Robert Carpenter
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): William H. Malloy
Hearing Site: Baltimore, MD
|  | $15,031 |
| 07-03560 | 07/30/2009 | Claimant(s): Joseph E. Shamy & Greta R. Shamy, JTWROS
Claimant Lawyers(s): Daniel Shamy
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Alan M. Wolper
Arbitrator(s): John C. Newsom, Harvey Alan Blicksilver, Donald Theodore Ryce
Hearing Site: Boca Raton, FL
| | $0 |
| 09-00942 | 07/29/2009 | Claimant(s): Patricia Kubitzki
Claimant Lawyers(s): Patricia A. Kubitzki
Respondent(s): New England Securities, Timothy Mcdermott
Respondent Lawyers(s): B. John Pendleton, Christina Schmid
Arbitrator(s): James A. Hayes
Hearing Site: Kansas City, MO
| | $7,836 |
| 08-01045 | 07/29/2009 | Claimant(s): James Ritter, Maxim Growth Fund LP
Claimant Lawyers(s): James D. Ritter
Respondent(s): Wachovia Securities Financial Network, Eric Lyon, John Black
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Arnold Wagner, Joseph W. Lodato, Anthony Michael Sabino
Hearing Site: New York, NY
| | $0 |
| 08-01224 | 07/29/2009 | Claimant(s): Victoria Kaufman
Claimant Lawyers(s): Stanislaus S. Mroczkowski
Respondent(s): UBS Financial Services Inc., Scott Rose
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Jeffrey Steinberg, Abraham Harry Bunis, Stephen L. Lister
Hearing Site: New York, NY
| | $0 |
| 08-01945 | 07/28/2009 | Claimant(s): Olga Servay, Olga Stone As Custodian for Anna Servay, Olga Stone, TTEE to TRT dated 082697
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Fred W. Beesley, Neil Harvey Smith, Richard Lee Matthews
Hearing Site: Nashville, TN
| | $18,751 |
| 06-05107 | 07/28/2009 | Claimant(s): Thomas Powell, Thomas L. Powell, IRA
Claimant Lawyers(s): Donald M. Feferman
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): J. Jackson
Arbitrator(s): Robert E. Robertson, Lawrence R. Commers, Arthur Richard Tow
Hearing Site: Minneapolis, MN
| | $0 |
| 08-02148 | 07/28/2009 | Claimant(s): Barry Bradshaw, Phyllis Bradshaw, Barry K. and Phyllis J. Bradshaw Trust
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): David B. Coates, Mark A. Myers, Edward A. Nelson
Hearing Site: Little Rock, AR
| | $0 |
| 06-03828 | 07/27/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Eric Boory, Eric Stevens, Gerald Grossman, Morgan Stanley DW Inc., Scott Lerner, Stanley Lerner
Respondent Lawyers(s): John Greco, Philip J. Campisi
Arbitrator(s): Sheldon Seligsohn, Glenn J. Hansen, Susan Mills Richmond
Hearing Site: Philadelphia, PA
| | |
| 07-02537 | 07/27/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Frederick Kelleher
Respondent Lawyers(s): Lawrence Duffy
Arbitrator(s): Linda M. Granata, Robert H. Loevin, James A. Collins
Hearing Site: Boca Raton, FL
| | |
