09-00874 | 04/15/2010 | Claimant(s): Harriet Gale Trust, Harriet Gale Trustee, Irving Harris Trust, Irving Harris TTEE Claimant Lawyers(s): Jeffrey Erez Respondent(s): Dawson James Securities. Respondent Lawyers(s): Craig R. Glasser Arbitrator(s): Robert H. Hagan, David P. Slater, Jay E. Eckhaus Hearing Site: Boca Raton, FL
| | $11,300 |
09-00267 | 04/14/2010 | Claimant(s): Jo Ann Waggoner Trust dtd 04/24/1996 Claimant Lawyers(s): Scott R. Shewan Respondent(s): The Seidler Companies Incorporated Respondent Lawyers(s): Peter B. Dolan Arbitrator(s): Richard J. Stall, Michael K. Zweig, Paul H. White Hearing Site: Los Angeles, CA
| | $135,473 |
09-00634 | 04/14/2010 | Claimant(s): Joan Sharpless, J&J Trust Claimant Lawyers(s): Stephen D. Phillabaum Respondent(s): Ameriprise Financial Services., Centaurus Financial. Respondent Lawyers(s): Courtney R. Reid, Shannon L. McDougald Arbitrator(s): Jerome O. Cohen, Richard Lawrence Hinton, Stephen E. DeForest Hearing Site: Seattle, WA
| | $58,800 |
09-02221 | 04/14/2010 | Claimant(s): Andrew Honzel, Beverly Honzel Claimant Lawyers(s): Lawrence D. Lewis Respondent(s): Benjamin Daniels, Raymond James Financial Services. Respondent Lawyers(s): Charles L. Gallagher, Robert Rudnicki Arbitrator(s): Edward I. Miller, Richard M. Norman, Katharine Reed Coleman Hearing Site: Los Angeles, CA
| | $0 |
09-04871 | 04/14/2010 | Claimant(s): Deming Fu, Rongli Gui Claimant Lawyers(s): Rongli Gui Respondent(s): Wells Fargo Advisors, James Hietpas Respondent Lawyers(s): Demian J. Betz Arbitrator(s): Sheldon I. Saitlin Hearing Site: Milwaukee, WI
| | $0 |
07-01706 | 04/13/2010 | Claimant(s): Augusto Andrade, Maria Andrade Claimant Lawyers(s): Megan M. McMillin Respondent(s): Wachovia Securities, Michael Ewanouski Respondent Lawyers(s): Demian Betz Arbitrator(s): Peter L. Curry, John H. Henn, Nancy E. Watters Hearing Site: Boston, MA
| | $18,384 |
08-00049 | 04/13/2010 | Claimant(s): Marie Atake, Pat Atake Claimant Lawyers(s): Montgomery G. Griffin Respondent(s): Legend Merchant Group., Strasbourger Pearson Tulcin Wolff. Respondent Lawyers(s): Joseph Pastore, Ron Moschetta Arbitrator(s): Gerald F. Corrigan, Rosa Linda Guadarrama, Stephen Malcolm Squire Hearing Site: Los Angeles, CA
| | $112,859 |
09-04003 | 04/13/2010 | Claimant(s): Colleen M. Tirio, IRA, Ronald C. Tirio Claimant Lawyers(s): Howard M. Rosenfield Respondent(s): Janney Montgomery Scott LLC Respondent Lawyers(s): Theodore Snyder Arbitrator(s): Bennett A. Hall, R. Keith Butterfield, Charles Franklin Willson Hearing Site: Hartford, CT
| | $0 |
09-05065 | 04/13/2010 | Claimant(s): Joseph Kelly, May Kelly Claimant Lawyers(s): Joseph Kelly Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Eric Glassman Arbitrator(s): Sam Antar Hearing Site: New York, NY
| | $213 |
09-06195 | 04/12/2010 | Claimant(s): Jerry H. Green Residuary Trust Claimant Lawyers(s): Scott J. Link Respondent(s): Bradford Madison Respondent Lawyers(s): Debra A. Jenks Arbitrator(s): Michael Lau, Bonnie A. Pearce, Bart Samuel Cohodas Hearing Site: Boca Raton, FL
| | Expungement |