| 10-02569 | 07/26/2011 | Claimant(s): William Jones
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Frank C. Fogl
Hearing Site: Charleston, WV
|  | Expungement |
| 10-05317 | 06/29/2011 | Claimant(s): Larry E. Tolbert and Jon C. Tolbert
Claimant Lawyers(s): Larry E. Tolbert
Respondent(s): Zions Direct.
Respondent Lawyers(s): Leigh Davis Schmidt
Arbitrator(s): Carol M. Stoner
Hearing Site: Charleston, WV
| | $213 |
| 10-01465 | 05/02/2011 | Claimant(s): Dolores Keener
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): David Arthur, Geneos Wealth Management., Investors Financial Advisors.
Respondent Lawyers(s): John O. Easton
Arbitrator(s): Donald B. Vaden, Alex H. Keller, John G. Byrd
Hearing Site: Charleston, WV
| | $0 |
| 09-03880 | 01/11/2011 | Claimant(s): Dan Salamie
Claimant Lawyers(s): Dana F. Eddy
Respondent(s): Bruce Conrad, TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt, William V. DePaulo
Arbitrator(s): W. Sean Kelleher, Randy Cepuch, W. Michael Frazier
Hearing Site: Charleston, WV
| | $0 |
| 08-00780 | 01/19/2010 | Claimant(s): Joe Carico
Claimant Lawyers(s): Douglas V. Reynolds
Respondent(s): Marsha Adkins, Merrill Lynch Pierce Fenner & Smith Inc., Robert Powers
Respondent Lawyers(s): John A. Rollins, Terry R. Weiss
Arbitrator(s): Arnold M. Malech, Donald B. Vaden, Harold Dean Tolbert
Hearing Site: Charleston, WV
| | $0 |
| 09-02513 | 12/21/2009 | Claimant(s): Sherry Elschlager, Terry Elschlager
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Henry G. Plaster
Hearing Site: Charleston, WV
| | $50,000 |
| 07-01931 | 05/30/2008 | Claimant(s): Lynn O. Hilliard
Claimant Lawyers(s): Ryan Shaw
Respondent(s): Wachovia Securities, Stuart May
Respondent Lawyers(s): Ryan P. Smith
Arbitrator(s): Carol M. Stoner
Hearing Site: Charleston, WV
| | $0 |
| 06-04530 | 04/10/2008 | Claimant(s): Rendal Dotson
Claimant Lawyers(s): Sandor Grossman
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Aaron R. Hartman
Arbitrator(s): John "Jack" W. Rader, Stuart H. Dunn, Carol M. Stoner
Hearing Site: Charleston, WV
| | $0 |
| 06-04996 | 04/03/2008 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Leonard Coleman
Respondent Lawyers(s): Leonard Coleman
Arbitrator(s): W. Michael Frazier
Hearing Site: Charleston, WV
| | $0 |
