| 08-03064 | 06/19/2009 | Claimant(s): Elizabeth Muller, Elizabeth O. Muller IRA, Robert R. Muller IRA, Robert R. Muller Profit Sharing Plan, Robert R. & Elizabeth O.S. Muller Trust,
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Catherine Stewart, Catherine S. Kopley, Laura A. Kaster
Hearing Site: Philadelphia, PA
|  | $100,000 |
| 08-03999 | 06/19/2009 | Claimant(s): Louis Basel, Penelope Basel
Claimant Lawyers(s): Kevin T. Hoffman
Respondent(s): Wachovia Securities, Neophytos Ganiaris
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Paul T. Green, Pamela H. Roderick, Judith P. Brooks
Hearing Site: New York, NY
| | $60,000 |
| 08-04300 | 06/19/2009 | Claimant(s): Curtis Stewart
Claimant Lawyers(s): John N.C. Ledbertter
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie W. Portera
Arbitrator(s): Maurice M. Feller
Hearing Site: Orlando, FL
| | $0 |
| 08-04089 | 06/18/2009 | Claimant(s): Morgan Stanley DW Inc.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Chris Minor
Respondent Lawyers(s): Chris Minor
Arbitrator(s): Hyram A. Evans, Henry Kirke Cushing, Lisa A Randall-Haag
Hearing Site: Chicago, IL
| | |
| 08-00397 | 06/18/2009 | Claimant(s): Elizabeth Gayle
Claimant Lawyers(s): J. Mark Brewer
Respondent(s): Wachovia Securities, Ryan Wrobleske, Prudential Equity Group
Respondent Lawyers(s): Retta E. Miller
Arbitrator(s): Dolores M Martin, Richard F. Dole, Malcolm Edwin Whittaker
Hearing Site: Houston, TX
| | $4,920 |
| 08-00684 | 06/18/2009 | Claimant(s): D. Marshall
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): William Warnky
Respondent Lawyers(s): William C. Warnky
Arbitrator(s): Phillip Lee Scheldt, Donald Vincent Enright, Robert Daniel Burns
Hearing Site: Dallas, TX
| | $66,500 |
| 08-01666 | 06/18/2009 | Claimant(s): Daniel P. Rayburn, IRA
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Kathryn R. Eldridge
Arbitrator(s): John F. O'Neill
Hearing Site: Atlanta, GA
| | $12,796 |
| 08-04554 | 06/18/2009 | Claimant(s): Richard Liechty
Claimant Lawyers(s): Richard C. Liechty
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Carl G. Mohr
Hearing Site: Denver, CO
| | $0 |
| 08-00441 | 06/17/2009 | Claimant(s): Michael Maloney
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Banc of America Securities LLC
Respondent Lawyers(s): Joseph C. O'Keefe
Arbitrator(s): Joan M. Traub, Alida D. Camp, Donald Raymond McNally
Hearing Site: New York, NY
| | |
| 08-01828 | 06/17/2009 | Claimant(s): Peter Tocco
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Walter J. Dowd.
Respondent Lawyers(s): Daniel C. Callaway
Arbitrator(s): Martin Jay Siegel, Kenneth M. Felder, Robert E. Holley
Hearing Site: New York, NY
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