| 09-02581 | 11/23/2009 | Claimant(s): Mitzi Gammill
Claimant Lawyers(s): Mitzi J. Gammill
Respondent(s): Don Friday, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Helmut O. Wolff
Hearing Site: Dallas, TX
|  | Expungement |
| 09-01093 | 11/23/2009 | Claimant(s): Donald Fangman, FRA Mauro, LTD.
Claimant Lawyers(s): Steven E. Achelpohl
Respondent(s): Victor Oelsen, RBC Capital Markets Corporation
Respondent Lawyers(s): Janiece M. Longoria
Arbitrator(s): Lawrence P. McLellan
Hearing Site: Omaha, NE
| | $0 |
| 08-04152 | 11/20/2009 | Claimant(s): Patricia Flanagan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Patricia Ann Tracey, Thomas Lee Eubanks, John G. Shamp
Hearing Site: Columbia, SC
| | $185,000 |
| 08-04168 | 11/20/2009 | Claimant(s): Amar Paul Sawhney
Claimant Lawyers(s): Amar Paul Singh Sawhney
Respondent(s): Brian Furrow, Frank Sullivan, TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Robert C. Upton, Allen J. Krouse, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $0 |
| 09-02658 | 11/20/2009 | Claimant(s): Ralph Ritter, Viola Ritter
Claimant Lawyers(s): Ralph H. Ritter
Respondent(s): Anita Oplotnik, Neil NcCall
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Donald B. Clark
Hearing Site: Kansas City, MO
| | $213 |
| 08-04613 | 11/19/2009 | Claimant(s): Clifford N. Wade and Margarita D. Wade
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John W. Mitchell
Arbitrator(s): James R. Augustine, R. Phillip Reed, Stuart W. Smith
Hearing Site: Birmingham, AL
| | $370,000 |
| 08-03614 | 11/19/2009 | Claimant(s): James Jones
Claimant Lawyers(s): James M. Jones
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maxel (Bud) B. Silverberg, Kurt L. Smith, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 08-04024 | 11/19/2009 | Claimant(s): R.A. Hamerly A.I.A Architect.
Claimant Lawyers(s): Randall A. Hamerly
Respondent(s): Sherman Niamehr, New Castle Financial Services LLC
Respondent Lawyers(s): Brett D. Zinner, Sherman Jason Niamehr
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01155 | 11/19/2009 | Claimant(s): William E. Busse and Kelly A. Busse - JT
Claimant Lawyers(s): William E. Busse
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Eugene R. Nielson
Hearing Site: Phoenix, AZ
| | $0 |
| 09-02795 | 11/19/2009 | Claimant(s): Phyllis Mossman
Claimant Lawyers(s): Phyllis M. Mossman
Respondent(s): Wells Fargo Investments, Michael Hampton
Respondent Lawyers(s): Vanessa Hoffman
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | $213 |
