| 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
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| 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
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| 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
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| 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
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| 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
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| 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
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| 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
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| 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
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| 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
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| 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
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