| 09-00300 | 06/26/2009 | Claimant(s): David Cutler
Claimant Lawyers(s): David Harrison
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Paul Greenberg
Hearing Site: Washington, DC
|  | $11,400 |
| 09-00018 | 06/25/2009 | Claimant(s): Charlotte D. Botello Revocable Trust
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Global Brokerage Services.
Respondent Lawyers(s): Gregory T. Lawrence
Arbitrator(s): Paul Davis Pearlstein, Mona Koppel Mitnick, Oliver P. Roche
Hearing Site: Washington, DC
| | $0 |
| 08-02004 | 06/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Joseph Connor
Respondent Lawyers(s): Joseph A. Connor
Arbitrator(s): Susan A. Mathews, Baunita M. Greer, Jehangir Fuller Varzi
Hearing Site: Washington, DC
| | |
| 08-03052 | 05/29/2009 | Claimant(s): Thomas Cusack
Claimant Lawyers(s): John P. Connolly
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): Mary E. Woytek, Michael H. McConihe, Wilson Thompson
Hearing Site: Washington, DC
| | $0 |
| 08-02347 | 04/02/2009 | Claimant(s): David L. Fairbairn & Leslie T. Fairbairn
Claimant Lawyers(s): Stephen D. Halfhill
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Curt H. Mueller
Arbitrator(s): Carole Rollinson, Michael H. McConihe, Stephan Paul Carrier
Hearing Site: Washington, DC
| | $0 |
| 08-01394 | 03/31/2009 | Claimant(s): Sarah Chang
Claimant Lawyers(s): Nehemiah C. Chang
Respondent(s): Tucker Braddock, AIG Retirement Advisors.
Respondent Lawyers(s): Gerry J. Kowalski
Arbitrator(s): Paul Greenberg, Robert H. Boorman, Michael Louis Gompertz
Hearing Site: Washington, DC
| | $0 |
| 08-01931 | 02/20/2009 | Claimant(s): Jawad N. Hammad and Deena J. Hammad, Jude J. Hammad
Claimant Lawyers(s): Jawad N. Hammad
Respondent(s): Banc of America Investment Services Inc., National Financial Services LLC
Respondent Lawyers(s): Michael G. Shannon, Russel D. Francisco
Arbitrator(s): Robert S. Plotkin, Christopher M. McMurray, Lisa Blunk Johnson
Hearing Site: Washington, DC
| | $0 |
| 08-01448 | 02/06/2009 | Claimant(s): Lily Azmoun
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Scott & Stringfellow, Ronald Salyer
Respondent Lawyers(s): Douglas M. Palais, Ronald Leslie Salyer
Arbitrator(s): Christopher M. McMurray, Wilson Thompson, Dolores Marie Coutts
Hearing Site: Washington, DC
| | $100,225 |
| 07-03572 | 01/30/2009 | Claimant(s): CIBC World Markets Corp.
Claimant Lawyers(s): Joseph J. Sullivan
Respondent(s): Robert Lynn
Respondent Lawyers(s): Gilbert W. Boyce
Arbitrator(s): Wendie L. Wachtel, Maurice R. Dunie, Emily Eiselman Hunter
Hearing Site: Washington, DC
| | |
| 07-02967 | 12/22/2008 | Claimant(s): Albert Sims and Mindy Sims
Claimant Lawyers(s): Albert Sims
Respondent(s): Nancy Baker, A.G. Edwards & Sons.
Respondent Lawyers(s): Michael Naccarato
Arbitrator(s): Lisa M. Mezzetti
Hearing Site: Washington, DC
| | $0 |
