| 08-04040 | 11/17/2009 | Claimant(s): Suntrust Investment Services.
Claimant Lawyers(s): Timothy J McEvoy
Respondent(s): Michael Depirri
Respondent Lawyers(s): Jonathan E. Levine
Arbitrator(s): Wendie L. Wachtel, Michael J. Henke, Geoffrey A. Drucker
Hearing Site: Washington, DC
| | |
| 09-00958 | 11/11/2009 | Claimant(s): Sandra Slayton
Claimant Lawyers(s): Erienne J. Roberts
Respondent(s): Wachovia Securities, Evelyn Scarborough, Tom Greasor
Respondent Lawyers(s): Deirdre Wolff
Arbitrator(s): Douglas Earl McLaren
Hearing Site: Washington, DC
|  | $9,443 |
| 08-04225 | 10/27/2009 | Claimant(s): Almas Temple A.A.O.N.M.S.
Claimant Lawyers(s): Janet K. DeCosta
Respondent(s): M&T Securities.
Respondent Lawyers(s): Douglas K. Spaulding
Arbitrator(s): Steven R. Bralove, Michael J. Henke, Olivia Milbank Farrar
Hearing Site: Washington, DC
| | $0 |
| 08-04044 | 10/08/2009 | Claimant(s): Michael Fogarty
Claimant Lawyers(s): John P. Connolly
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Susan Poder MacFarlane
Arbitrator(s): Jerome Nelson, Gene E. Godley, Patricia H. Latham
Hearing Site: Washington, DC
| | $0 |
| 09-01811 | 09/30/2009 | Claimant(s): Sarah Carter
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): June White Dillard
Hearing Site: Washington, DC
| | $22,206 |
| 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 |
| 08-02151 | 08/25/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Samuel Begun
Respondent Lawyers(s): Samuel Begun
Arbitrator(s): Bonnie K. Wachtel, Ralph S. Blascovich, Paul A. Fischer
Hearing Site: Washington, DC
| | |
| 08-04765 | 08/20/2009 | Claimant(s): Norman Stoll
Claimant Lawyers(s): Jon H. Patterson
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Christopher M. McMurray
Hearing Site: Washington, DC
| | $425 |
| 09-00887 | 07/24/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Callahan
Respondent Lawyers(s): William Patrick Callahan
Arbitrator(s): C. Gregory Ellison
Hearing Site: Washington, DC
| | |
| 08-02871 | 07/17/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Alan S. Brodherson
Respondent(s): John Andrews
Respondent Lawyers(s): John Andrews
Arbitrator(s): Louis Nebel, Anne Q. Uno, Baunita M. Greer
Hearing Site: Washington, DC
| | |
