| 09-00139 | 03/17/2010 | Claimant(s): Gregory Taylor, Gregory Wayne Taylor Ind. Retirement Act
Claimant Lawyers(s): Michael Swann
Respondent(s): Amy Thompson, Bryant Thompson, Mark Asplin, American Heritage Church Finance.
Respondent Lawyers(s): Richard Lee Barrett, Stephen M. Masterson
Arbitrator(s): Charles R. Tindell, Norman R. Gohr, Stuart K. Furman
Hearing Site: Orlando, FL
|  | $150,000 |
| 09-04612 | 03/17/2010 | Claimant(s): Nhu-Ngoc Huynh
Claimant Lawyers(s): Nhu-Ngoc Huynh
Respondent(s): Princor Financial Services
Respondent Lawyers(s): Kenneth M. Kolaski
Arbitrator(s): William H. Malloy
Hearing Site: Washington, DC
| | $3,323 |
| 09-01739 | 03/17/2010 | Claimant(s): Stephen Farley
Claimant Lawyers(s): Stephen A. Farley
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Peter D. Steinbroner
Hearing Site: Los Angeles, CA
| | $150 |
| 09-02203 | 03/17/2010 | Claimant(s): Charlotte Domiter
Claimant Lawyers(s): John F. Hanzel
Respondent(s): Melissa Carlson, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): John H. Griffing
Hearing Site: Charlotte, NC
| | $500 |
| 09-00444 | 03/16/2010 | Claimant(s): Dana Presti, Est of Ralph E. Dilks by Dana Presti Ex
Claimant Lawyers(s): Joseph M. Armstrong
Respondent(s): Ronald Aungst, PNC Investments LLC
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Guillermo L. Bosch, Joseph J. Dougherty, Catherine S. Kopley
Hearing Site: Philadelphia, PA
| | $0 |
| 09-01252 | 03/16/2010 | Claimant(s): Baron Ritchie
Claimant Lawyers(s): Phillip L. Sternberg
Respondent(s): Jeffrey Rein, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Cameron S. Matheson
Arbitrator(s): Kenneth J. Safran, William H. Morris, Jennifer Ann Shandler
Hearing Site: Detroit, MI
| | $0 |
| 08-04780 | 03/15/2010 | Claimant(s): Robert Sudduth, The Robert Sudduth Family Trust
Claimant Lawyers(s): George W. Healy
Respondent(s): James Holdman
Respondent Lawyers(s): MacAllynn J. Achee
Arbitrator(s): John J. Meyer, Mark A. Myers, Allen J. Krouse
Hearing Site: New Orleans, LA
| | $1,300,600 |
| 09-05245 | 03/15/2010 | Claimant(s): Tissapeh Hami
Claimant Lawyers(s): Tissapeh Hami
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $9,781 |
| 09-00382 | 03/15/2010 | Claimant(s): George Galajda, IRA
Claimant Lawyers(s): Steven Galajda
Respondent(s): Thomas Tette, 1st Global Capital Corp.
Respondent Lawyers(s): Marc J. Ross
Arbitrator(s): Christopher C. Willett, David L. Hoffberg, Ronald Ripstein
Hearing Site: Rochester, NY
| | $0 |
| 09-04508 | 03/15/2010 | Claimant(s): Sheldon Schafer
Claimant Lawyers(s): Sheldon L. Schafer
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig Robinson
Arbitrator(s): G. Gale Roberson
Hearing Site: Chicago, IL
| | $88 |
