09-05059 | 04/19/2010 | Claimant(s): Doris Benson Claimant Lawyers(s): Doris Benson Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Erin K. Fair Arbitrator(s): Howard W. Shannon Hearing Site: Phoenix, AZ
| | $2,389 |
09-05201 | 04/19/2010 | Claimant(s): Saul Crafton Claimant Lawyers(s): Saul Crafton Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Catherine Luth Arbitrator(s): Robert H. Putnam Hearing Site: Jacksonville, FL
| | $257 |
09-06378 | 04/19/2010 | Claimant(s): Gina and Antonio Strazzullo Claimant Lawyers(s): Gina Strazzullo Respondent(s): Wells Fargo Advisors Respondent Lawyers(s): Brent J. Burtin Arbitrator(s): Robert J. Saex Hearing Site: Ft. Lauderdale, FL
| | $0 |
09-00976 | 04/16/2010 | Claimant(s): The Sohaili Trust Claimant Lawyers(s): Masood Sohaili Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Mai P. Klaassen Arbitrator(s): Morris S. Getzels Hearing Site: Los Angeles, CA
| | $1,050 |
07-02774 | 04/16/2010 | Claimant(s): Eugenia Jones Claimant Lawyers(s): Eugenia Jones Respondent(s): Dennis Cavender, William Hudson Respondent Lawyers(s): Adam M. Kauff Arbitrator(s): Richard V. McGalliard, Sabrina Raquel Scott, Joan Connolly Grafstein Hearing Site: Atlanta, GA
| | $0 |
08-01503 | 04/16/2010 | Claimant(s): Anna Brasch Claimant Lawyers(s): Anthony V. Trogan Respondent(s): Eric Henry, Thomas Kelly, K & H Partners Respondent Lawyers(s): Timothy Feil Arbitrator(s): D. Michael Kratchman, William P. Thorpe, A. Robert Stevenson Hearing Site: Detroit, MI
| | $0 |
08-02833 | 04/16/2010 | Claimant(s): O. Stanley and Frankie F. Thornton Claimant Lawyers(s): Pratt H. Davis Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Peter S. Fruin Arbitrator(s): Robert N. Leitch, Dave Wolf, T. Scott Watkins Hearing Site: Atlanta, GA
| | $0 |
09-03504 | 04/16/2010 | Claimant(s): Mid Coast Builders, Mid Coast Builders Supply Inc. 1, Mid Coast Builders Supply. 2, The New Mid-Coast Plan BJC, The New Mid-Coast Plan BJC PM, The New Mid-Coast Plan REC, The Cook Trust dtd 5/3/88 Claimant Lawyers(s): Alan R. Templeman Respondent(s): Citigroup Global Markets., John Sottile, Morgan Stanley Smith Barney Respondent Lawyers(s): Alejandro Schwed Arbitrator(s): Stanley C. Morris, Steven J. Feldman, James Stephan Mulholland Hearing Site: Los Angeles, CA
| | $0 |
09-05655 | 04/16/2010 | Claimant(s): Jean Dalisa Claimant Lawyers(s): Paul T. Vink Respondent(s): Arlene Quaranta, Wachovia Securities Respondent Lawyers(s): Joseph F. Generelli, Roland T. Koke Arbitrator(s): Eric P. Nachman, Lincoln W. Craighead, Bernard J. McGuire Hearing Site: New York, NY
| | $0 |
08-02851 | 04/15/2010 | Claimant(s): John Doerner Claimant Lawyers(s): Tanya Sacks Respondent(s): Clifford Gamble, Gibbs Brown, Joseph Vassallo, Leland Prussia, Linda Sechser, Richard Boone, Scott Hultsman, Timothy Menezes, EPlanning Securities. Respondent Lawyers(s): Clifford N. Gamble, Gibbs W. Brown, Joseph J. Ehrlich, Linda M. Sechser, Richard E. Boone, Scott Hultsman Arbitrator(s): William W. Haskell, Dennis W. Yan, Sean B. Meehan Hearing Site: San Francisco, CA
| | Expungement |