| 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 |
| 08-00489 | 05/22/2009 | Claimant(s): John Francesconi
Claimant Lawyers(s): Nicholas J. Bell
Respondent(s): Dixon Handwerk, Michael Thaler
Respondent Lawyers(s): Andrew Biondi, Debra S. Stafford
Arbitrator(s): William F. Etherington, Christopher M. McMurray, Margaret Verdery Little
Hearing Site: Richmond, VA
| | Stipulated Award and Expungement |
| 08-01659 | 05/01/2009 | Claimant(s): A.B. Cover Trust, Herbert Cover III,Ttee
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Catherine E. Garas
Arbitrator(s): Jane C. Carney, Frank Warren Moore, Donita M. King
Hearing Site: Richmond, VA
| | $61,000 |
| 08-04189 | 04/16/2009 | Claimant(s): Charles Hunter Branch (Estate)
Claimant Lawyers(s): William Todd Branch
Respondent(s): Kent Greenway, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): Stanley H. Ragle
Hearing Site: Richmond, VA
| | $213 |
| 08-00532 | 01/15/2009 | Claimant(s): Branch Avenue Plaza, L.P.
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Gary Ackerman, United Securities Alliance.
Respondent Lawyers(s): Brenda Neel Hight, Derek C. Anderson
Arbitrator(s): Glenn H. Catalano, Charles Mitchell Conover, Carl F. Bowmer
Hearing Site: Richmond, VA
| | $0 |
| 07-03227 | 11/12/2008 | Claimant(s): Bayan Jamous, Feda Jamous
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): A.J. Keyser, Wachovia Securities, Robert Schneller
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): John J. Muldowney, Donald B. Vaden, Arthur B. O'Connell
Hearing Site: Richmond, VA
| | $525,000 |
| 07-02775 | 08/29/2008 | Claimant(s): James Baxter, Kathleen King, Betty/James E. Baxter, II, Joint Tenants, John/James E. Baxter
Claimant Lawyers(s): William D. Bayliss
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Stuart H. Dunn, Keith A. Green, Roderick B. Mathews
Hearing Site: Richmond, VA
| | $223,910 |
| 05-06369 | 09/21/2007 | Claimant(s): Davenport Alley Partnership
Claimant Lawyers(s): Steven S. Biss
Respondent(s): National Securities Corporation, Steve Taton
Respondent Lawyers(s): Mark Roth, William G. Shields
Arbitrator(s): Anne W. Larkin, Emerson R. Marks, W. Scott Greco
Hearing Site: Richmond, VA
| | $0 |
