| 09-04271 | 09/07/2010 | Claimant(s): James Merryman
Claimant Lawyers(s): Lewis C Culpepper
Respondent(s): Christopher Hicks, First Tennessee Brokerage.
Respondent Lawyers(s): Mark D. Griffin
Arbitrator(s): Richard L. Oates, Edward M. Kaplan, Lawrence W. Kern
Hearing Site: Memphis, TN
|  | $0 |
| 09-01865 | 09/02/2010 | Claimant(s): Donald Morrow
Claimant Lawyers(s): Lawrence W. Miles
Respondent(s): Wedbush Securities Inc., Lisa Gallo
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Richard B. Bullock, Sterling N. Frost, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $108,000 |
| 09-02397 | 09/02/2010 | Claimant(s): Joseph S. Chayka Rollover IRA
Claimant Lawyers(s): Ronald E. Miller
Respondent(s): Peter Higgins, Janney Montgomery Scott LLC
Respondent Lawyers(s): Jill B. Clarke
Arbitrator(s): Peter A. Scarpato
Hearing Site: Philadelphia, PA
| | Expungement |
| 09-04458 | 09/02/2010 | Claimant(s): George Trotter
Claimant Lawyers(s): George W. Trotter
Respondent(s): Christopher Miller, Park Avenue Securities LLC
Respondent Lawyers(s): Mickey B. Wright
Arbitrator(s): Steven P. Gregory, Charles W. Hill, Prince C. Chambliss
Hearing Site: Birmingham, AL
| | Dismissed by Rule 12206 |
| 09-05336 | 09/02/2010 | Claimant(s): Howard Rubin
Claimant Lawyers(s): Howard A. Rubin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): John Fleming Kelly
Hearing Site: Albuquerque, NM
| | $163 |
| 09-04717 | 09/01/2010 | Claimant(s): Peter Skindmore
Claimant Lawyers(s): Kristin P. Kraszewski
Respondent(s): HSBC Securities (USA).
Respondent Lawyers(s): Paul K. Stecker
Arbitrator(s): Ilene Barbara Zatkin-Butler, Clarence Smith, Ralph A. DeSena
Hearing Site: New York, NY
| | $128,671 |
| 08-04725 | 09/01/2010 | Claimant(s): Ronald Kline
Claimant Lawyers(s): Nicholas J Guiliano
Respondent(s): Stifel, Nicolaus & Co..
Respondent Lawyers(s): Richard Szuch
Arbitrator(s): Joseph L. Farrell, Edward F. Koren, Peter Edward Sheridan
Hearing Site: Philadelphia, PA
| | $0 |
| 09-05808 | 09/01/2010 | Claimant(s): Saralyn White
Claimant Lawyers(s): Joel J. Ewusiak
Respondent(s): Tina Hicks, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Diana A. Weiner
Hearing Site: Tampa, FL
| | $0 |
| 09-01178 | 08/31/2010 | Claimant(s): Christopher Carthew
Claimant Lawyers(s): Adam Gana
Respondent(s): Eric Gretchyn, Milestone Financial Services.
Respondent Lawyers(s): Dan A. Druz, Matthew Schonberg
Arbitrator(s): Ellyn S. Roth
Hearing Site: New York, NY
| | $90,000 |
| 08-02847 | 08/31/2010 | Claimant(s): Sharon M. Deming IRA, Deming Family Living Trust
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Daniel B. MacLeod
Hearing Site: Portland, OR
| | $0 |
