| 09-00561 | 07/20/2009 | Claimant(s): Barbara Tutt
Claimant Lawyers(s): David M. Tutt
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Diane M. Brown
Arbitrator(s): Stuart M. Widman
Hearing Site: Chicago, IL
|  | $9,613 |
| 08-02897 | 07/17/2009 | Claimant(s): Irma Agee, Irma T. Agee IRA
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Beverly Hylton, Wedbush Morgan Securities
Respondent Lawyers(s): Charles LaChaussee
Arbitrator(s): Franklin G. Allen, Doris V. Knotter, Barry E. Kersh
Hearing Site: San Diego, CA
| | $110,000 |
| 05-03988 | 07/16/2009 | Claimant(s): Sulna Development Company N.V.
Claimant Lawyers(s): Dona Szak
Respondent(s): Prudential Equity Group
Respondent Lawyers(s): David Picon
Arbitrator(s): Denzil J. Klippel, Charles S. Guggenheimer, Charles L. Henderson
Hearing Site: New York, NY
| | $0 |
| 09-00521 | 07/16/2009 | Claimant(s): Kenneth Armstrong
Claimant Lawyers(s): Kenneth C Armstrong
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert R. Marquardt
Hearing Site: Dallas, TX
| | $213 |
| 08-03675 | 07/15/2009 | Claimant(s): Robert Buchanan
Claimant Lawyers(s): R. Scott Buchanan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paula M. McManus
Arbitrator(s): Gail E. Sasnett-Stauffer
Hearing Site: Orlando, FL
| | $0 |
| 08-02082 | 07/14/2009 | Claimant(s): Everett Ross, Imogene Ross, Everett C & Imogene G Ross T U/A DTD 10/, Trustee
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Nancy J. Spieczny, James H. Fehlberg, Kevin K. Forrester
Hearing Site: San Diego, CA
| | $173,798 |
| 08-01464 | 07/14/2009 | Claimant(s): Delano Colston
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Michael J. Stern, Dave Wolf, David E. Morris
Hearing Site: Atlanta, GA
| | $0 |
| 08-02408 | 07/14/2009 | Claimant(s): D. Bartell
Claimant Lawyers(s): David E. Robbins
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Peter L. Curry, Susan E. Maloney, Michael Jay Rich
Hearing Site: Boston, MA
| | $0 |
| 08-00533 | 07/13/2009 | Claimant(s): William Corcoran
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Prestige Financial Center.
Respondent Lawyers(s): Jonathan B. Butler
Arbitrator(s): John N. Breazeale, David P. Slater, Richard J. Kaplan
Hearing Site: Boca Raton, FL
| | $402,253 |
| 06-01063 | 07/10/2009 | Claimant(s): Louis Rosenwein, Meredith Rosenwein, TTEE f/b/o Robert
Claimant Lawyers(s): R. Jeffrey More
Respondent(s): Ralph Esposito, Janney Montgomery Scott LLC
Respondent Lawyers(s): Lionel G. Hest
Arbitrator(s): Orestes J. Mihaly, Paul Weinberg, James M Coakley
Hearing Site: New York, NY
| | Stipulated Award and Expungement |
