| 04-04494 | 06/12/2009 | Claimant(s): Tim Bell
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L Parmelee
Arbitrator(s): Richard P. Flake
Hearing Site: Houston, TX
|  | $36,517 |
| 08-04250 | 06/12/2009 | Claimant(s): Charlotte Comfort
Claimant Lawyers(s): Charlotte Comfort
Respondent(s): Ing Direct Securities Inc., Sharebuilder Securities Corporation
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Stuart H. Dunn, Frank Warren Moore, Roderick B. Mathews
Hearing Site: Richmond, VA
| | $0 |
| 08-00179 | 06/11/2009 | Claimant(s): Henry Klosky and Patricia Klosky
Claimant Lawyers(s): Naill Falls
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John S. Golwen
Arbitrator(s): Irwin S. Sugerman, Norman E. Heyman, Jay R. Robinson
Hearing Site: Memphis, TN
| | $134,000 |
| 07-03529 | 06/11/2009 | Claimant(s): Richard Johnston & Clotilda J. Johnston
Claimant Lawyers(s): Benjamin Lapin
Respondent(s): David Lerner Associates.
Respondent Lawyers(s): Joseph C. Pickard
Arbitrator(s): Alfred H. Kingon
Hearing Site: New York, NY
| | $0 |
| 06-00240 | 06/10/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Patricia Tsipras
Respondent(s): Mark Rossel
Respondent Lawyers(s): Erwin J. Shustak
Arbitrator(s): Dean Schneider, Theresa Y. Hu, David S. Harrison
Hearing Site: Los Angeles, CA
| | |
| 07-01037 | 06/10/2009 | Claimant(s): Charles Bever
Claimant Lawyers(s): Michael McDonough
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Harry L. Sheehy, Michael I. White, Bridget A. Mitchell
Hearing Site: Des Moines, IA
| | |
| 08-01786 | 06/10/2009 | Claimant(s): Radhakrishnan Nair
Claimant Lawyers(s): Radhakrishnan Nair
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): E. Andre Velez
Arbitrator(s): Cheryl H. Agris, Mary Elizabeth Satran, Eileen Devaney Leo
Hearing Site: Hartford, CT
| | |
| 08-02059 | 06/10/2009 | Claimant(s): Chase Investment Services Corp.
Claimant Lawyers(s): Thomas J. Cahill
Respondent(s): Brian Radoo, Next Financial Group.
Respondent Lawyers(s): Brian Radoo, Melvin G. Mosley
Arbitrator(s): Marguerite B. Filson, Robert S. Getman, James D. Yellen
Hearing Site: New York, NY
| | |
| 05-03310 | 06/10/2009 | Claimant(s): Charlene Thrasher
Claimant Lawyers(s): Ira M. Potter
Respondent(s): Henry Broussard
Respondent Lawyers(s): Henry L. Broussard
Arbitrator(s): James P. O'Grady
Hearing Site: St. Louis, MO
| | $28,308 |
| 08-00926 | 06/10/2009 | Claimant(s): Richard and Carolyn Bland
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Bradley B. Rounsaville
Arbitrator(s): Lawrence M. Oberdank, Royce Alan Burns, John F. O'Neill
Hearing Site: Birmingham, AL
| | $21,801 |
