08-03618 | 10/01/2009 | Claimant(s): Ameriprise Financial Services., Ameriprise Financial. Claimant Lawyers(s): John L. Einstein Respondent(s): Martin Smith Respondent Lawyers(s): Musa L. Eubanks Arbitrator(s): David L. Ruderman, Gregory R. Banasz, David Paul Clark Hearing Site: Baltimore, MD
| | |
09-01914 | 10/01/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Michael S. Colombo Respondent(s): Kelley Dean Respondent Lawyers(s): Kelley Dean Arbitrator(s): G. Dale McKissick Hearing Site: Dallas, TX
| | |
07-02564 | 09/30/2009 | Claimant(s): TD Banknorth, N.A. Claimant Lawyers(s): Thomas W. Witherington Respondent(s): Jeffrey Davis, National Planning Corporation Respondent Lawyers(s): Richard N. Freeth Arbitrator(s): Samuel H. Chorches, Philip S. Wellman, Sean Alan D'Amico Hearing Site: Hartford, CT
| | |
08-02027 | 09/30/2009 | Claimant(s): Midsouth Capital. Claimant Lawyers(s): Samuel T. Brannan Respondent(s): Raymond, James & Associates. Respondent Lawyers(s): Robert M. Rudnicki Arbitrator(s): Perry Lee Taylor, Victor L. Hayslip, Bernard Leroy Lynch Hearing Site: Atlanta, GA
| | |
08-03510 | 09/30/2009 | Claimant(s): Grover Stults Claimant Lawyers(s): Robert M Fellheimer Respondent(s): Edward Oudenne Respondent Lawyers(s): Larry Lefkowitz Arbitrator(s): E. William Pastor Hearing Site: Philadelphia, PA
| | |
09-01368 | 09/29/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Thomas J. Momjian Respondent(s): James Hodges Respondent Lawyers(s): Thomas C. Costello Arbitrator(s): AnnDrea M. Benson, Marian Smith Glenn, J. Snowden Stanley Hearing Site: Baltimore, MD
| | |
09-02524 | 09/29/2009 | Claimant(s): Susan Mohr Gomez Claimant Lawyers(s): Kenneth V. Gomez Respondent(s): Aegis Capital Corp. Respondent Lawyers(s): Robert J. Eide Arbitrator(s): Howard L. Sobel Hearing Site: New York, NY
| | |
08-02685 | 09/28/2009 | Claimant(s): Hector Nieto Claimant Lawyers(s): Gary L. Goodenow Respondent(s): Atlas One Financial Group Respondent Lawyers(s): Mark E. Zelek Arbitrator(s): Arthur J. Leibell, Elena G. Rodriguez, Sandro L. Ramos Hearing Site: Miami, FL
| | |
09-00167 | 09/28/2009 | Claimant(s): Betty Wilson Claimant Lawyers(s): Betty Lou Wilson Respondent(s): Dennis Goldstrand Respondent Lawyers(s): Dennis Joseph Goldstrand Arbitrator(s): John J. Fitzpatrick Hearing Site: San Francisco, CA
| | |
09-01919 | 09/28/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Michael S. Colombo Respondent(s): Christopher Weighart Respondent Lawyers(s): Christopher Grey Weighart Arbitrator(s): Joseph F. Pittelli Hearing Site: Philadelphia, PA
| | |