| 09-03013 | 05/19/2010 | Claimant(s): Arthur Lang, Deborah Lang
Claimant Lawyers(s): Mark J. Krudys
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Peter Fruin
Arbitrator(s): David Edward Upton, Wesley C. Wilson, Michael J. Pasquale
Hearing Site: Richmond, VA
|  | $276,844 |
| 09-01187 | 04/07/2010 | Claimant(s): Richard and Barbara Danielewski
Claimant Lawyers(s): Harwell M. Darby
Respondent(s): Brecc Avellar, Avellar Advisors., Synergy Investment Group
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): George T. Baskerville, Janice L. Burnham, Donita M. King
Hearing Site: Richmond, VA
| | Stipulated Award and Expungement |
| 09-02446 | 03/30/2010 | Claimant(s): Snehal Patel
Claimant Lawyers(s): Snehal Patel
Respondent(s): Westrock Advisors.
Respondent Lawyers(s): Christopher R. Travis
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
| | $240 |
| 09-01632 | 03/04/2010 | Claimant(s): Cortney Hungerford Trust dtd 3/6/99, Morgan Hungerford Trust dtd 3/6/99
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Johnston, Lemon & Co.orporated
Respondent Lawyers(s): Douglas K. Spalding
Arbitrator(s): Wesley C. Wilson, Thomas J. Burns, Christopher M. McMurray
Hearing Site: Richmond, VA
| | $109,605 |
| 09-00745 | 01/08/2010 | Claimant(s): E. Gunter
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Michael Segal, Steve Morris, Thomas ONeill, Whitaker Securities LLC
Respondent Lawyers(s): Robert M. Bursky
Arbitrator(s): Peter B. Vaden, William F. Etherington, John Kevin Williams
Hearing Site: Richmond, VA
| | Stipulated Award |
| 09-03901 | 12/22/2009 | Claimant(s): Michael Nagy
Claimant Lawyers(s): Michael Nagy
Respondent(s): Wachovia Securities.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David Edward Upton
Hearing Site: Richmond, VA
| | $38 |
| 08-03503 | 12/09/2009 | Claimant(s): Dwight Dunton, BPMS Wheaton Square, Mountain Energy Inc.
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Donald H. Newlin, Beverly F. Druitt, Christopher M. McMurray
Hearing Site: Richmond, VA
| | $0 |
| 09-02764 | 12/03/2009 | Claimant(s): Martha Bourie
Claimant Lawyers(s): Martha Tice Bourie
Respondent(s): Lisa Kern, Davenport & Company LLC
Respondent Lawyers(s): Brian A. McCormack
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | $425 |
| 08-03840 | 09/25/2009 | Claimant(s): Robert Carlton, Jr. Residuray Trust
Claimant Lawyers(s): Burleigh T. Kay
Respondent(s): UBS Financial Services Inc., William Rector
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Wesley C. Wilson
Hearing Site: Richmond, VA
| | $0 |
| 08-04250 | 06/12/2009 | Claimant(s): Charlotte Comfort
Claimant Lawyers(s): Charlotte Comfort
Respondent(s): Ing Direct Securities Inc., Sharebuilder Securities Corporation
Respondent Lawyers(s): C. Dean Little
Arbitrator(s): Stuart H. Dunn, Frank Warren Moore, Roderick B. Mathews
Hearing Site: Richmond, VA
| | $0 |
