08-04006 | 08/26/2009 | Claimant(s): Peak Securities Corporation Claimant Lawyers(s): Chad Weaver Respondent(s): Gregg Mulholland, Bruin Industries. Respondent Lawyers(s): Irving M. Einhorn Arbitrator(s): Elliott David Finkel, Dennis A. Torres, Randall N. Kirk Hearing Site: Los Angeles, CA
| | $0 |
08-02954 | 08/26/2009 | Claimant(s): Gwen Thompson, Keith Thompson, Gwen A. Thompson IRA Contributory, Keith R. Thomas IRA Contributory Claimant Lawyers(s): Tod D. Geidl Respondent(s): Craig Wessels, Charles Schwab & Co.. Respondent Lawyers(s): Kelly Moynihan Arbitrator(s): Douglas Martin Crow, Kevin D. Swenson, Burton LaVon Beahm Hearing Site: Boise, ID
| | $164,727 |
08-03949 | 08/26/2009 | Claimant(s): John Holloway Claimant Lawyers(s): James A. Dunlap Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Meredith M. Thompson Arbitrator(s): Lawrence M. Oberdank, Mark J. Happe, Robert N. Kohn Hearing Site: Birmingham, AL
| | $0 |
09-00227 | 08/26/2009 | Claimant(s): Gustavo M. and Magaly Eliza Vasquez Claimant Lawyers(s): Gustavo M. Vasquez Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Tracey Salmon Smith Arbitrator(s): Arnold Samuel Tesh Hearing Site: Washington, DC
| | $0 |
07-01491 | 08/25/2009 | Claimant(s): Brad Phalen, Chatt Cottle, Crystal Phalen, Jennifer Cottle Claimant Lawyers(s): Scott Heselmeyer Respondent(s): Charles Carter, James Alldredge, World Group Securities. Respondent Lawyers(s): Amy C. Welborn, David B. Dyer, Robert G. Brunton Arbitrator(s): Robert R. Nursey, Synthia L. Taylor, Patricia B. Lehtola Hearing Site: Dallas, TX
| | Expungement |
08-01322 | 08/25/2009 | Claimant(s): Ilene Graham Claimant Lawyers(s): William S. Bonnheim Respondent(s): Michael Goodman, Stone & Youngberg LLC Respondent Lawyers(s): Cara L. Meredith, Gregory E. Copeland Arbitrator(s): Jeffrey E. Skogsbergh, Richard J. Stall, Dennis A. Torres Hearing Site: Los Angeles, CA
| | Expungement |
08-00484 | 08/24/2009 | Claimant(s): Hector Huertas Claimant Lawyers(s): Hector L. Huertas Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Michael E. Scullin, Richard Frank Colello, Gary I. Kravis Hearing Site: Philadelphia, PA
| | $0 |
08-03311 | 08/21/2009 | Claimant(s): Doug Brown Claimant Lawyers(s): Jan Graham Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Philip A. McLeod Arbitrator(s): Amy Seltzer, Merrill Dean Taylor, Patrick James Martin, J.D. Hearing Site: Reno, NV
| | $1,425 |
09-00121 | 08/21/2009 | Claimant(s): Lois Hughes Claimant Lawyers(s): Lois J. Hughes Respondent(s): Brian Wall, Darrin De Bok Respondent Lawyers(s): Deirdre C. Wolf Arbitrator(s): Mark R. Lee Hearing Site: Kansas City, MO
| | $0 |
09-01804 | 08/20/2009 | Claimant(s): A.G. Edwards & Sons. Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Hobert Sanderson Respondent Lawyers(s): Hobert K. Sanderson Arbitrator(s): Robert S. Zuckerman Hearing Site: Raleigh, NC
| | $0 |