09-03921 | 05/04/2010 | Claimant(s): Mike Zack Claimant Lawyers(s): Mike Zack Respondent(s): James Fonseca, Investors Capital Corp. Respondent Lawyers(s): James L. Fonseca, Rebecca S. Hice Arbitrator(s): Larry Edmonson Hearing Site: Los Angeles, CA
| | $3,631 |
09-04808 | 05/04/2010 | Claimant(s): Penni Morris, Walter Morris, Walter A Morris III and Penni Morris Claimant Lawyers(s): Penni & Walter Morris Respondent(s): Ameriprise Financial Services., Michael Hanke Respondent Lawyers(s): Courtney R. Reid, Nancy Landy Arbitrator(s): Marie G. Peterson Hearing Site: Boca Raton, FL
| | $26,475 |
09-05873 | 05/04/2010 | Claimant(s): Michael Dach Claimant Lawyers(s): Michael A. Dach Respondent(s): Vanguard Marketing Corporation Respondent Lawyers(s): Jennifer F. Hinderliter Arbitrator(s): Charles Orlove Hearing Site: Chicago, IL
| | $0 |
09-05127 | 05/03/2010 | Claimant(s): Judith Polk-Sebring Claimant Lawyers(s): Randall C. Place Respondent(s): Steven Lockshin, City National Securities. Respondent Lawyers(s): Matthew A. Eisenstein Arbitrator(s): Steven R. Bralove, Douglas Earl McLaren, Joseph O'Donnell Hearing Site: Washington, DC
| | Expungement |
09-01667 | 05/03/2010 | Claimant(s): Esther J. Aboud IRA Account, The 2000 Esther Aboud Revocable Trust Claimant Lawyers(s): Esther J. Aboud Respondent(s): Wachovia Securities, James Wheat Respondent Lawyers(s): Judy Louie Arbitrator(s): Roberta Haft, Milton C. Bennett, Michael G. Clark Hearing Site: Los Angeles, CA
| | $0 |
09-04293 | 04/30/2010 | Claimant(s): Sandra Boardman Claimant Lawyers(s): William M. Bowen Respondent(s): Bertin Stuckart, David Ruckno, UBS Financial Services Inc. Respondent Lawyers(s): Joseph C. Coates, III Arbitrator(s): Zeb E. Barnhardt, Charles L. Measter, Emmet Francis Martin Hearing Site: Columbia, SC
| | $0 |
08-03839 | 04/30/2010 | Claimant(s): Tavalyn Crim Claimant Lawyers(s): Gregory L. Powell Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Garrett R. Wynne Arbitrator(s): Katherine H. O'Neil, Michael G. Hanlon, Lawrence Edward Kelly Hearing Site: Portland, OR
| | Expungement |
08-04967 | 04/30/2010 | Claimant(s): Henri Blain Claimant Lawyers(s): Nicki Samson Respondent(s): Michael Borgioli, Fidelity Brokerage Services LLC, FMSBONDS. Respondent Lawyers(s): Julie W. Portera, Sydney A. Marks Arbitrator(s): Stan West, John C. Newsom, James W. Geiger Hearing Site: Ft. Lauderdale, FL
| | $0 |
09-00809 | 04/30/2010 | Claimant(s): June G. Krever, Marc L. Krever Claimant Lawyers(s): Seth Huberman Respondent(s): Citigroup Global Markets., Ronald Fishbein Respondent Lawyers(s): Keith Olin Arbitrator(s): Thomas L. Curran, Carl Shechter, Kenneth E. Merklen Hearing Site: Boca Raton, FL
| | $0 |
09-01147 | 04/30/2010 | Claimant(s): Lori Caden, Warren Friedman Claimant Lawyers(s): Avi Wagner Respondent(s): Gregory Heller, Heller Capital Resources Financial and, Investment Security Corporation Respondent Lawyers(s): Herman Palarz, Lee D. Lubin Arbitrator(s): Morris S. Getzels, Edward A. Trabin, Paul H. White Hearing Site: Los Angeles, CA
| | $0 |