| 09-01382 | 02/23/2010 | Claimant(s): Jane Chang, Kwen-Jen Chang
Claimant Lawyers(s): Andrew O Whiteman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael P. O'Mullan
Arbitrator(s): Zeb E. Barnhardt, Lynne T. Albert, David H. Grubbs
Hearing Site: Raleigh, NC
|  | $108,750 |
| 09-00122 | 05/26/2009 | Claimant(s): Ganesh Khandpekar
Claimant Lawyers(s): Ganesh Khandpekar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | $0 |
| 07-01775 | 10/06/2008 | Claimant(s): Elizabeth Burnell, Estate of Brian Burnell
Claimant Lawyers(s): John Hanzel
Respondent(s): Frank Black, Southeast Investments, N.C..
Respondent Lawyers(s): Frank H. Black
Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Richard E. Miley
Hearing Site: Charlotte, NC
| | $0 |
| 07-01303 | 04/18/2008 | Claimant(s): Gerlind Schmoll, Ronald Schmoll
Claimant Lawyers(s): Ronald W. Karolyi
Respondent(s): Kenneth Pujdak
Respondent Lawyers(s): Kenneth Pujdak
Arbitrator(s): Lynne T. Albert, Leslie R. Berro, Laura A. Ledford
Hearing Site: Charlotte, NC
| | $181,888 |
| 07-01583 | 03/26/2008 | Claimant(s): Harold F. Davis, IRA, Davis Family Trust
Claimant Lawyers(s): Harold F. Davis
Respondent(s): Hayes Burleson, A.G. Edwards & Sons.
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Lynne T. Albert, Landrum H. Henderson, James F. Major
Hearing Site: Charlotte, NC
| | $87,600 |
| 06-04445 | 02/14/2008 | Claimant(s): American Municipal Securities.
Claimant Lawyers(s): Robert Persante
Respondent(s): Gregg Hollidge, John A. and Drewry Mitchell
Respondent Lawyers(s): Michael T. Medford, Robert Persante
Arbitrator(s): Lynne T. Albert, George Steven Moore, Karen A. West
Hearing Site: Raleigh, NC
| | $0 |
