| 09-01152 | 12/03/2009 | Claimant(s): Sensual Fashions
Claimant Lawyers(s): Michael Perugini
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. Lachaussee
Arbitrator(s): Bennett A. Hall
Hearing Site: Hartford, CT
|  | $9,834 |
| 09-02752 | 12/03/2009 | Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $15,787 |
| 08-04636 | 12/03/2009 | Claimant(s): STG Realty Corp.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Guy K. Stewart, Monroe Mitchel, Susan M. Dunning
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02764 | 12/03/2009 | Claimant(s): Martha Bourie
Claimant Lawyers(s): Martha Tice Bourie
Respondent(s): Lisa Kern, Davenport & Company LLC
Respondent Lawyers(s): Brian A. McCormack
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | $425 |
| 09-03347 | 12/03/2009 | Claimant(s): Margaret G. Cargill Revocable Trust
Claimant Lawyers(s): Andre R. Perron
Respondent(s): David Cohen, Michael Cohen, Cohen Investment Management., Harbor Financial Services
Respondent Lawyers(s): Gary Irwin
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
| | $0 |
| 08-00672 | 12/02/2009 | Claimant(s): Dan Camphausen, Edmund Templeton, Gerald Tahtinen, Larry Myhre, OADS, INC., Heidi Sparacino, IRA, Judith Meyers, Bartlett and Doris Richards, Dennis and Heidi Sparacino, Bonnie Meyers, Indiv & as Trustee of, Shirely Wong Profit Sharing Trust, The Gerald and Mary Dassow Trust
Claimant Lawyers(s): Laurence M. Landsman, Nicholas P. Iavarone
Respondent(s): Advanced Equities.
Respondent Lawyers(s): Thomas P. Yardley
Arbitrator(s): Ralph M. Goren, Theodore L. Leeb, Craig D. Cook
Hearing Site: Chicago, IL
| | $174,766 |
| 08-00674 | 12/02/2009 | Claimant(s): Alma F. Hollingsworth, IRA, Paul Hollingsworth, Paul and Alma F. Hollingsworth, Trustees
Claimant Lawyers(s): Howard B. Prossnitz
Respondent(s): Morgan Keegan & Company., Regions Financial Corporation
Respondent Lawyers(s): Michael R. Robinson
Arbitrator(s): David W. Stanton, Belinda M. Ohlinger, Harold Dean Tolbert
Hearing Site: Cincinnati, OH
| | $57,882 |
| 08-03899 | 12/02/2009 | Claimant(s): Kanella Sarros, Kanella V. Sarros 403B, Kanella V. Sarros Roth IRA, Sarros Family Trust dtd 10/03/2001
Claimant Lawyers(s): Jeffrey A. Feldman
Respondent(s): Ruthe Gomez, Advisory Financial Consultants.
Respondent Lawyers(s): Christopher Mader
Arbitrator(s): Mitchell S. Ostwald, Benjamin Slomoff, Richard Conlon Lehrmann
Hearing Site: San Francisco, CA
| | $73,606 |
| 09-02227 | 12/02/2009 | Claimant(s): Maxim Group LLC
Claimant Lawyers(s): Christopher G. Massey
Respondent(s): Martin Feinberg
Respondent Lawyers(s): Martin Feinberg
Arbitrator(s): David E. Robbins
Hearing Site: New York, NY
| | $0 |
| 09-03304 | 12/02/2009 | Claimant(s): Michael & Nancy DeSimone
Claimant Lawyers(s): Michael G. DeSimone
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Arnold Wagner
Hearing Site: New York, NY
| | $75 |
