07-02582 | 08/26/2009 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Ronald P. Kane Respondent(s): Eun-Joo Chang Respondent Lawyers(s): Ekwan E. Rhow Arbitrator(s): Alexander L. Mazour, Carol Ann Jensen, Daniel M. Yamshon Hearing Site: San Francisco, CA
| | |
08-04230 | 08/26/2009 | Claimant(s): Pearlene Love Claimant Lawyers(s): Pearlene Perry Love Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Corin R. Swift Arbitrator(s): Robert L. Chisolm Hearing Site: Dallas, TX
| | |
09-01314 | 08/26/2009 | Claimant(s): Newbridge Securities Corporation Claimant Lawyers(s): Michael S. Colombo Respondent(s): Joseph Aiello Respondent Lawyers(s): Joseph John Aiello Arbitrator(s): David E. Mowry Hearing Site: Boca Raton, FL
| | |
08-02151 | 08/25/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Christopher S. Koller Respondent(s): Samuel Begun Respondent Lawyers(s): Samuel Begun Arbitrator(s): Bonnie K. Wachtel, Ralph S. Blascovich, Paul A. Fischer Hearing Site: Washington, DC
| | |
09-00668 | 08/25/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Jonathan E. Levine Respondent(s): Bruce Bruning Respondent Lawyers(s): Bruce K. Bruning Arbitrator(s): John N. Breazeale Hearing Site: Boca Raton, FL
| | |
08-01644 | 08/21/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Jonathan E. Levine Respondent(s): Richard Hobgood Respondent Lawyers(s): Steven C. Lawrence Arbitrator(s): James Edward Banks, Charles K. ReCorr, Michael James Childers Hearing Site: Raleigh, NC
| | |
08-02789 | 08/21/2009 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Patrick J. Folan Respondent(s): Charles Laverty Respondent Lawyers(s): Zachary R. Smith Arbitrator(s): Basil Lewis, Mark A. Levy, Ronald F. Rybandt Hearing Site: Los Angeles, CA
| | |
09-00463 | 08/21/2009 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Erin E. Mac Avoy Respondent(s): Robert Cotter Respondent Lawyers(s): David L. Ward Arbitrator(s): Peter M. Bizinkauskas Hearing Site: Boston, MA
| | |
09-00066 | 08/20/2009 | Claimant(s): Douglas Keyes Claimant Lawyers(s): Douglas Michael Keyes Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): John Miller Arbitrator(s): Jeffry M. Bauer, Roland L. Olzark, Diane Allard Roegner Hearing Site: Detroit, MI
| | |
08-00849 | 08/18/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Thomas A. Volz Respondent(s): Michael Caprioni Respondent Lawyers(s): Michael Caprioni Arbitrator(s): James M. Baumann, Alan Shaw, Joseph Christopher Rosa Hearing Site: Newark, NJ
| | |