| 07-02062 | 08/05/2009 | Claimant(s): Glen Stone, Sandra Stone
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): David E. Bamberger
Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory
Hearing Site: Dallas, TX
|  | $0 |
| 08-04802 | 07/21/2009 | Claimant(s): Jean Francis Schirard, IRA, Jean & Joseph Schirard and Lisa Buchanan
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): G. Maynard Green
Hearing Site: Dallas, TX
| | $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 |
| 09-00577 | 07/10/2009 | Claimant(s): Carlos Casas
Claimant Lawyers(s): Carlos E Casas
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Joann Peters
Hearing Site: Dallas, TX
| | $213 |
| 09-00273 | 07/09/2009 | Claimant(s): Gary N. and Nancy M. Polasek
Claimant Lawyers(s): Gary N. Polasek
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Maryanne M. Esser
Hearing Site: Dallas, TX
| | $307 |
| 08-03250 | 07/08/2009 | Claimant(s): John F. Archer and Karin A. Archer JT
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Philip A. McLeod
Arbitrator(s): Michael E. Rohde, Donald Vincent Enright, C. Sumpter Logan
Hearing Site: Dallas, TX
| | $0 |
| 08-00203 | 06/29/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Gregory B. Simon
Respondent(s): Bob Boyd, Winford Bradley
Respondent Lawyers(s): Christopher B. Trowbridge, Molly A. Manning
Arbitrator(s): William E. Hartsfield, Martha Z. Ralstin, Jon Leonard Weinstein
Hearing Site: Dallas, TX
| | |
| 08-00684 | 06/18/2009 | Claimant(s): D. Marshall
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): William Warnky
Respondent Lawyers(s): William C. Warnky
Arbitrator(s): Phillip Lee Scheldt, Donald Vincent Enright, Robert Daniel Burns
Hearing Site: Dallas, TX
| | $66,500 |
| 08-04433 | 06/10/2009 | Claimant(s): Jamie Page
Claimant Lawyers(s): Jamie K Page
Respondent(s): Steven Rosen
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Michael E. Rohde
Hearing Site: Dallas, TX
| | $12,300 |
| 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 |
