| 09-00819 | 12/07/2009 | Claimant(s): Kathleen Castle, Trustee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): John J. George, James W. Warren, William Patterson Cashill
Hearing Site: Reno, NV
|  | $57,981 |
| 08-02307 | 09/09/2009 | Claimant(s): Elsie Kelly, Raymond Kelly, Raymond O's Kelly & Elsie M. Ke U/A dtd, Raymond O's Kelly Rev Liv Trust U/A dtd
Claimant Lawyers(s): Thomas A. Hargett
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Paul H. Lamboley, Barry A. Mainardi, Darryl J. Horowitt
Hearing Site: Reno, NV
| | $100,080 |
| 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 |
| 08-00200 | 07/23/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Crystal Masset, Steve Russell, Timothy Hartman
Respondent Lawyers(s): Diane C. Fischer, Mark H. Gunderson
Arbitrator(s): Helen Marinak Blohm, Jeffrey M. Allen, Edward J. Harkins
Hearing Site: Reno, NV
| | |
| 08-00072 | 06/19/2009 | Claimant(s): Wachovia Securities Financial Network
Claimant Lawyers(s): Judy Louie
Respondent(s): Donald Peterson
Respondent Lawyers(s): Martin M. Berliner
Arbitrator(s): Martin Mandel, William R. Rafti, Patrick Owen King
Hearing Site: Reno, NV
| | |
| 07-03609 | 02/13/2009 | Claimant(s): Thomas Bowen
Claimant Lawyers(s): Kenneth J. McKenna
Respondent(s): Edward Jones
Respondent Lawyers(s): Edwin A. Barkel
Arbitrator(s): Mary Curran, Harry B. Endsley, Thomas D. Reese
Hearing Site: Reno, NV
| | $0 |
| 08-01223 | 11/26/2008 | Claimant(s): Arnold Allan
Claimant Lawyers(s): Arnold Michael Allan
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Robin Lynn Berry
Hearing Site: Reno, NV
| | $0 |
| 06-04178 | 09/09/2008 | Claimant(s): AIG Financial Advisors.
Claimant Lawyers(s): Janet Weinstein
Respondent(s): James Yim
Respondent Lawyers(s): James B. Yim
Arbitrator(s): Joseph C. Roberts
Hearing Site: Reno, NV
| | $0 |
| 07-00258 | 05/28/2008 | Claimant(s): Brian G. Herr Rollover IRA, Sheryl L. Herr Rollover IRA
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Laif Meidell
Respondent Lawyers(s): Neil S. Baritz
Arbitrator(s): Cheryl R. Kershner, John J. Fitzpatrick, Alan P. Fraser
Hearing Site: Reno, NV
| | $0 |
| 07-00689 | 04/25/2008 | Claimant(s): Marjorie Smith, Bert A. Smith IRA, Bert A. Smith 1988 Trust DTD 9/29/1988
Claimant Lawyers(s): Thomas C. Bradley
Respondent(s): Associated Securities Corporation
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Alvin L. Fishman, Walter J. Huntley, Nancy A. Yonge
Hearing Site: Reno, NV
| | $0 |
