| 09-03394 | 05/26/2010 | Claimant(s): Thomas Logan
Claimant Lawyers(s): Kevin J Mirch
Respondent(s): Peter Sims, Toni Moninger, Lincoln Financial Distributors.
Respondent Lawyers(s): Grant P. Alexander
Arbitrator(s): Jeffrey L. Gaffney, James B. Guillou, Robert Alan Merring
Hearing Site: San Diego, CA
| | |
| 09-03808 | 05/26/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Michael Jacob Ewart
Respondent(s): Kevin Salk
Respondent Lawyers(s): Kevin Craig Salk
Arbitrator(s): Jeffrey E. Skogsbergh
Hearing Site: Los Angeles, CA
| | |
| 09-05062 | 05/26/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): Kirk Barrett
Respondent Lawyers(s): Kirk Christopher Barrett
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
| | |
| 09-06795 | 05/26/2010 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Courtney R. Reid
Respondent(s): Richard Ryder
Respondent Lawyers(s): Richard J Ryder
Arbitrator(s): Robert W. Kneeland
Hearing Site: Tampa, FL
| | |
| 08-01222 | 05/25/2010 | Claimant(s): Gary Mohamed
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jonathan L. Isreal
Arbitrator(s): Richard W Berenger, Howard Breindel, Ernesto V. Luzzatto
Hearing Site: New York, NY
| | |
| 09-06435 | 05/25/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Gregory S. Tendrich
Respondent(s): Bret Tackett
Respondent Lawyers(s): David J. Linesch
Arbitrator(s): Myron S. Dunay
Hearing Site: Tampa, FL
| | |
| 08-01708 | 05/24/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): David H. Smith
Respondent(s): Mark Pollack
Respondent Lawyers(s): Mark Pollack
Arbitrator(s): Jeffrey Steinberg, Nathan J. Minucci, Ernest Edward Badway
Hearing Site: Newark, NJ
| | |
| 08-05033 | 05/24/2010 | Claimant(s): Harry Licursi
Claimant Lawyers(s): Harry E. Licursi
Respondent(s): Alonzo Wickers, Jon Neubert, Loy Holt, Pension Planners Securities.
Respondent Lawyers(s): Christopher P. Mader, Gina Duryea
Arbitrator(s): Lester Friedman, Thomas H. O'Connor, Norman S. Nayfach
Hearing Site: San Francisco, CA
| | |
| 09-02165 | 05/24/2010 | Claimant(s): Capitol Securities Management.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): Johann Nanayakkara
Respondent Lawyers(s): W. Scott Greco
Arbitrator(s): Kurt Matthew Schwartz, James A. Blalock, Lloyd M. Richardson
Hearing Site: Washington, DC
| | |
| 09-06892 | 05/24/2010 | Claimant(s): Raymond James Financial Services.
Claimant Lawyers(s): Derek C Anderson
Respondent(s): Robert Mayfield
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): William J. Petzel
Hearing Site: San Francisco, CA
| | |
