08-03052 | 05/29/2009 | Claimant(s): Thomas Cusack Claimant Lawyers(s): John P. Connolly Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Gordon C. Young Arbitrator(s): Mary E. Woytek, Michael H. McConihe, Wilson Thompson Hearing Site: Washington, DC
| | $0 |
08-02347 | 04/02/2009 | Claimant(s): David L. Fairbairn & Leslie T. Fairbairn Claimant Lawyers(s): Stephen D. Halfhill Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Curt H. Mueller Arbitrator(s): Carole Rollinson, Michael H. McConihe, Stephan Paul Carrier Hearing Site: Washington, DC
| | $0 |
08-01394 | 03/31/2009 | Claimant(s): Sarah Chang Claimant Lawyers(s): Nehemiah C. Chang Respondent(s): Tucker Braddock, AIG Retirement Advisors. Respondent Lawyers(s): Gerry J. Kowalski Arbitrator(s): Paul Greenberg, Robert H. Boorman, Michael Louis Gompertz Hearing Site: Washington, DC
| | $0 |
08-01931 | 02/20/2009 | Claimant(s): Jawad N. Hammad and Deena J. Hammad, Jude J. Hammad Claimant Lawyers(s): Jawad N. Hammad Respondent(s): Banc of America Investment Services Inc., National Financial Services LLC Respondent Lawyers(s): Michael G. Shannon, Russel D. Francisco Arbitrator(s): Robert S. Plotkin, Christopher M. McMurray, Lisa Blunk Johnson Hearing Site: Washington, DC
| | $0 |
08-01448 | 02/06/2009 | Claimant(s): Lily Azmoun Claimant Lawyers(s): W. Scott Greco Respondent(s): Scott & Stringfellow, Ronald Salyer Respondent Lawyers(s): Douglas M. Palais, Ronald Leslie Salyer Arbitrator(s): Christopher M. McMurray, Wilson Thompson, Dolores Marie Coutts Hearing Site: Washington, DC
| | $100,225 |
07-02967 | 12/22/2008 | Claimant(s): Albert Sims and Mindy Sims Claimant Lawyers(s): Albert Sims Respondent(s): Nancy Baker, A.G. Edwards & Sons. Respondent Lawyers(s): Michael Naccarato Arbitrator(s): Lisa M. Mezzetti Hearing Site: Washington, DC
| | $0 |
07-02929 | 04/08/2008 | Claimant(s): David Ni Claimant Lawyers(s): David H Ni Respondent(s): National Financial Services LLC Respondent Lawyers(s): Gary T. Grassey Arbitrator(s): Maurice R. Dunie Hearing Site: Washington, DC
| | $88 |
07-00317 | 03/20/2008 | Claimant(s): John Erickson Claimant Lawyers(s): John F. Erickson Respondent(s): Robert Tucker Respondent Lawyers(s): Robert Tucker Arbitrator(s): Anne Q. Uno, Bruce Sanders, Arthur J. Wilson Hearing Site: Washington, DC
| | $0 |
06-05365 | 03/03/2008 | Claimant(s): Katherine Griffin, TTEE to Living TRST Claimant Lawyers(s): Dan Brecher Respondent(s): Goldman, Sachs and Company, Sofia Frankel Respondent Lawyers(s): Brian F. McDonough, Michael J. Dell Arbitrator(s): Bryon P. Fusini, Michael F. Halasz, Jeanne E. Libit Hearing Site: Washington, DC
| | Expungement |
07-01933 | 02/07/2008 | Claimant(s): Robert L. Kellogg & Evelyn Lea Kellogg, Claimant Lawyers(s): Robert L Kellogg Respondent(s): Crowell, Weedon & Co. Respondent Lawyers(s): James R. Kruger Arbitrator(s): Maureen Power Wilkerson Hearing Site: Washington, DC
| | $12,213 |