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 |