| 09-00256 | 06/08/2009 | Claimant(s): John Udovich
Claimant Lawyers(s): John J. Udovich
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Ann Pinciss Berman
Hearing Site: New York, NY
|  | $0 |
| 08-00858 | 06/05/2009 | Claimant(s): Alan Meinen, Jane Meinen, The Meinen Family Partnership, Ltd.
Claimant Lawyers(s): Melanie D. Bragg
Respondent(s): Shawn Goheen, American General Securities Incorporated
Respondent Lawyers(s): David K. Bissinger, Melinda Lucas Peevy
Arbitrator(s): Raymond C. Kerr, James E. Lane, Mark Edward Tredennick
Hearing Site: Houston, TX
| | $1,301,250 |
| 07-02213 | 06/05/2009 | Claimant(s): Charles Poehlitz, Evelyn Jones, Grace Pipitone, Grover Drum, Estate of Augustus Pickens, Estate of Pauline Sweet
Claimant Lawyers(s): Frank J. Mastro, Richard J. Magid
Respondent(s): Uzo Chima, Suntrust Investment Services.
Respondent Lawyers(s): Jeffrey W. Willis, Uzo Chima
Arbitrator(s): John A. Gray, Joan M. Smith, Thomas J. Dolina
Hearing Site: Baltimore, MD
| | $0 |
| 08-01154 | 06/05/2009 | Claimant(s): Richard Soshea
Claimant Lawyers(s): Tom Burke
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): S. Lawrence Polk
Arbitrator(s): Michael R.E. Sanders, Charles M. Ackerman, David William Hickman
Hearing Site: Seattle, WA
| | $0 |
| 08-03213 | 06/05/2009 | Claimant(s): Randal Brown, Randal B. Brown IRA Rollover, The Randal Brown Trust U/A DTD 01/25/199
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Garrett R. Wynne
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 05-05872 | 06/04/2009 | Claimant(s): Lloyd and Edith Kippley
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Emanuel V. Gumina, James R. Schoenike, William B. Ross
Hearing Site: Milwaukee, WI
| | $134,504 |
| 08-01204 | 06/04/2009 | Claimant(s): Brian McDonald
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Robyn Reagan, Regal Securities Inc.
Respondent Lawyers(s): Nicholas P. Iavarone, Steven J. Berry
Arbitrator(s): Maxel (Bud) B. Silverberg, George F. Longino, Leighton Aiken
Hearing Site: Dallas, TX
| | $172,864 |
| 99-04694 | 06/04/2009 | Claimant(s): Suryakant & Sushila Patel
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barbara Ralston, Charles Lazzaro, Drew Chalmers, First Wall Street Corp.
Respondent Lawyers(s): Christopher P. Mader, Cynthia M. Schleindl
Arbitrator(s): Steven Gourley, Luis R. Ruiz, Sheldon Stanford Ellis, Joseph Winter
Hearing Site: Phoenix, AZ
| | Expungement |
| 04-05955 | 06/04/2009 | Claimant(s): Barbara J. and Robert V. Hinshaw
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Kathleen A. DeLaney
Hearing Site: Indianapolis, IN
| | $0 |
| 07-03394 | 06/04/2009 | Claimant(s): Henry Archer
Claimant Lawyers(s): Henry W. Archer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Sam Antar, Richard D. Levin, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
