09-05643 | 07/15/2010 | Claimant(s): Marilyn Hazell Claimant Lawyers(s): Nicholas D. Thomas Respondent(s): David Dube Respondent Lawyers(s): David William Dube Arbitrator(s): Harvey Alan Blicksilver Hearing Site: Orlando, FL
| | $400,000 |
09-05979 | 07/15/2010 | Claimant(s): Martin Reisner Claimant Lawyers(s): Charles D. Heidgerd Respondent(s): David Maggio, Suntrust Investment Services. Respondent Lawyers(s): Frederick S. Schrils Arbitrator(s): Paul W. Sterman, Syma S. Kasdin, Mark I. Scheinbaum Hearing Site: Boca Raton, FL
| | $38,500 |
09-03611 | 07/15/2010 | Claimant(s): Arlyn E. Hanson IRA, Priscilla E. Hanson IRA, Priscilla E. Hanson & Arlyn E. Hanson, Arlyn E. Hanson Trust, Priscilla E. Hanson Trust Claimant Lawyers(s): Michael S. MacDonald Respondent(s): Kenneth Kauth, Wells Fargo Advisors Respondent Lawyers(s): Richard H. Kuhlman Arbitrator(s): Gerald M. Gifford, Douglas Randall Blohm, Douglas J. Nesbit Hearing Site: Minneapolis, MN
| | $0 |
09-06928 | 07/15/2010 | Claimant(s): Debra Alavi DDS MS Defined Benefit Plan, Claimant Lawyers(s): Debra G Alavi Respondent(s): Douglas Mavrovic Respondent Lawyers(s): Nicole C. Johnson Arbitrator(s): Michael S. Matek Hearing Site: Chicago, IL
| | $0 |
10-00070 | 07/15/2010 | Claimant(s): Alvin M. Coppersmith, IRA Account, Alvin M. and Linda Coppersmith Per/Acct, Alvin M. Coppersmith Keogh Account Claimant Lawyers(s): Alvin M. Coppersmith Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Richard A. Karoly Arbitrator(s): Sterling N. Frost Hearing Site: San Francisco, CA
| | $0 |
09-06140 | 07/14/2010 | Claimant(s): Citigroup Global Markets. Claimant Lawyers(s): Chad Gottlieb Respondent(s): Janice Koch Respondent Lawyers(s): Janice C. Koch Arbitrator(s): Robert Charkovsky Hearing Site: Baltimore, MD
| | $0 |
07-03620 | 07/14/2010 | Claimant(s): Ann Niebauer Claimant Lawyers(s): Anthony V. Trogan Respondent(s): Frank Bluestein Respondent Lawyers(s): David M. Foster Arbitrator(s): Stuart M. Egrin, William P. Thorpe, Veronique M. Liem Hearing Site: Detroit, MI
| | $101,679 |
09-04361 | 07/14/2010 | Claimant(s): Arthur Ruiz Jr. and Patty Ruiz Claimant Lawyers(s): Arthur Ruiz Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Melissa Hegger Shea Arbitrator(s): Leonard E. Benade Hearing Site: New Orleans, LA
| | $150 |
09-02459 | 07/13/2010 | Claimant(s): Thomas Maher Claimant Lawyers(s): Irwin G. Stein Respondent(s): Pacific West Securities. Respondent Lawyers(s): Chance A.E. Hodges Arbitrator(s): George R. Milne, Paul R. Meyer, Bert P. Krages Hearing Site: Portland, OR
| | $593,336 |
07-02883 | 07/12/2010 | Claimant(s): Claimant Lawyers(s): Respondent(s): Keybanc Capital Markets Inc., John Hartman Respondent Lawyers(s): John Hartman, Wm. Joseph Baker Arbitrator(s): Ellen Holland Keller, I. Bernard Trombetta, Marianne L. Simpson Hearing Site: Cleveland, OH
| | Settlement |