| 09-06997 | 07/22/2010 | Claimant(s): Paul L. Mechetti, IRA, Paul L. & Arlene A. Mechetti Fam. Tr.
Claimant Lawyers(s): Paul L. Mechetti
Respondent(s): Jennifer Johnston, Banc of America Investment Services Inc.
Respondent Lawyers(s): Eric Glassman
Arbitrator(s): James N. D'Orso
Hearing Site: San Francisco, CA
|  | $5,713 |
| 09-02156 | 07/22/2010 | Claimant(s): Jon Dame and Nancy Powlowsky - JTWROS
Claimant Lawyers(s): Sean T. Carnathan
Respondent(s): J Maxwell, Oppenheimer & Co..
Respondent Lawyers(s): Deborah L. Thaxter, Matthew T. McLaughlin
Arbitrator(s): Susan E. Maloney, Andrew Wayne Wunsch, Evalyn Lipton Fishbein
Hearing Site: Boston, MA
| | $0 |
| 10-00034 | 07/22/2010 | Claimant(s): Stephen L. Halpern Profit Sharing Plan
Claimant Lawyers(s): Stephen L Halpern
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): W. Alex King
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02855 | 07/21/2010 | Claimant(s): John Lozes, Nader Nakib, Timothy Sturge
Claimant Lawyers(s): Diane A. Nygaard
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Lonnie L. Simpson
Arbitrator(s): Mark S. Foster, Joseph D. Sheppard, Michael J. Hunter
Hearing Site: Kansas City, MO
| | $395,000 |
| 09-03788 | 07/20/2010 | Claimant(s): David Gelerman
Claimant Lawyers(s): David A. Conti
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): William H. McCarter, Howard M. Miller, Pamela E. Berman
Hearing Site: Boston, MA
| | $232,441 |
| 09-06977 | 07/20/2010 | Claimant(s): Joseph Reddy, Joseph Reddy M.D..
Claimant Lawyers(s): John W. Davis
Respondent(s): William Alexander
Respondent Lawyers(s): William W. Alexander
Arbitrator(s): Stephen R. Clark
Hearing Site: San Diego, CA
| | $1,292,700 |
| 09-07168 | 07/20/2010 | Claimant(s): Cecelia Cook
Claimant Lawyers(s): Cecelia Wilson Cook
Respondent(s): LPL Financial LLC, Randall Dyches
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Donald G. Kennedy
Hearing Site: Columbia, SC
| | $213 |
| 09-07236 | 07/20/2010 | Claimant(s): Ronald Smith, Ronald S Smith A Law Corporation
Claimant Lawyers(s): Ronald S. Smith
Respondent(s): Wachovia Securities Financial Network, Wachovia Securities, Wells Fargo Advisors, Michael Scher
Respondent Lawyers(s): William S. Port
Arbitrator(s): Mary L. Williams
Hearing Site: Los Angeles, CA
| | $38 |
| 09-07246 | 07/20/2010 | Claimant(s): Bijan Hakimpour
Claimant Lawyers(s): Bijan Hakimpour
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Alexander T. Moore
Arbitrator(s): Walter S. Weiss
Hearing Site: Los Angeles, CA
| | $213 |
| 10-00181 | 07/19/2010 | Claimant(s): Hintze Family Revocable Living Trust
Claimant Lawyers(s): Ronald M. Hintze
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Janice L. Burnham
Hearing Site: Norfolk, VA
| | $25,425 |
