| 09-06086 | 07/15/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Thomas W. Steed
Hearing Site: Richmond, VA
| | |
| 09-06537 | 07/15/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Steven Lawton
Respondent Lawyers(s): Steven Michael Lawton
Arbitrator(s): Ernest Fanwick
Hearing Site: Providence, RI
| | |
| 09-06726 | 07/15/2010 | Claimant(s): Royal Alliance Associates.
Claimant Lawyers(s): Barry R. Temkin
Respondent(s): Sharon Hubberman
Respondent Lawyers(s): Sharon D. Hubberman
Arbitrator(s): Edith M. Novack
Hearing Site: Newark, NJ
| | |
| 09-04033 | 07/14/2010 | Claimant(s): Scott Skinner
Claimant Lawyers(s): Brian D. Buckstein
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): Steve R. Neuman, Larry J. Sklar, Matthew G. Wylie
Hearing Site: Houston, TX
| | |
| 10-00872 | 07/14/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Victor Bailey
Respondent Lawyers(s): Victor Bailey
Arbitrator(s): Mark A. Myers
Hearing Site: Houston, TX
| | |
| 08-04163 | 07/13/2010 | Claimant(s): Sandra Kobel
Claimant Lawyers(s): Robert Ruotolo
Respondent(s): Cessford Prentice, 1st Global Advisors., 1st Global Capital Corp., 1st Global Insurance Services., 1st Global Retirement Services., 1st Global.
Respondent Lawyers(s): William N. Radford
Arbitrator(s): Daniel A. Kile, Martha Z. Ralstin, Charles Lynn Schmidt
Hearing Site: Dallas, TX
| | |
| 09-05512 | 07/13/2010 | Claimant(s): Edgar Baker, Louise Baker
Claimant Lawyers(s): John B. Dempsey
Respondent(s): LPL Financial LLC, Mark Renzini, Virginia Traver, Comm Financial Services, Community Bank & Trust
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): Elizabeth A. McKinney, E. William Pastor, Paul J. Greco
Hearing Site: Philadelphia, PA
| | |
| 09-06571 | 07/13/2010 | Claimant(s): Edwin Lundgren
Claimant Lawyers(s): E. Brent Lundgren
Respondent(s): William Park
Respondent Lawyers(s): William Brown Park
Arbitrator(s): James A. Lundberg
Hearing Site: Bismarck, ND
| | |
| 10-00141 | 07/13/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): George Hovany
Respondent Lawyers(s): George Edward Hovany
Arbitrator(s): William M. Koziol
Hearing Site: Chicago, IL
| | |
| 07-00126 | 07/12/2010 | Claimant(s): Barry Goldenberg
Claimant Lawyers(s): Alisa L. Silverstein
Respondent(s): Richard McVey, MarketAxess Corporation
Respondent Lawyers(s): David A. Picon
Arbitrator(s): Robert A. Vaccaro, Michael Peter Yahr, Edward Peter Ryan
Hearing Site: New York, NY
| | |
