| 10-03937 | 11/18/2011 | Claimant(s): Annette M. Burton
Claimant Lawyers(s): Andrew R. Park
Respondent(s): Richard Landi, Advent Securities., Community Bankers Securities, Waterford Investor Services.
Respondent Lawyers(s): Frank J. Wainscott, Richard Landi, Steven S. Biss
Arbitrator(s): Henry G. Plaster
Hearing Site: Richmond, VA
|  | $35,000 |
| 11-01593 | 11/04/2011 | Claimant(s): Daniel Robertson
Claimant Lawyers(s): Daniel Scott Robertson
Respondent(s): Capwest Securities.
Respondent Lawyers(s): H Thomas Fehn
Arbitrator(s): Marvin Elster
Hearing Site: Richmond, VA
| | |
| 10-05692 | 10/18/2011 | Claimant(s): Pamela Poole, Pamela H. Poole IRA, Pamela H. Poole Roth IRA
Claimant Lawyers(s): Todd Ratner
Respondent(s): Overton Graham, RBC Capital Markets LLC
Respondent Lawyers(s): James Cosby
Arbitrator(s): William C. Boinest, Stuart H. Dunn, Leon Henderson
Hearing Site: Richmond, VA
| | $0 |
| 10-02200 | 10/05/2011 | Claimant(s): Jeremy Harvey
Claimant Lawyers(s): Steven S. Biss
Respondent(s): Karen McKinley, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): A. Patricia Morales Christiansen
Arbitrator(s): Jonathan S. Alcaro, Jane C. Carney, William Stephen Mailander
Hearing Site: Richmond, VA
| | $0 |
| 10-03492 | 09/16/2011 | Claimant(s): Avis E. Wyland
Claimant Lawyers(s): Edward B. Lowry
Respondent(s): Community Bankers Securities
Respondent Lawyers(s): Steven S. Biss
Arbitrator(s): Stuart H. Dunn, Dawn H. DeHart, Pauline Elkins Rosenstein
Hearing Site: Richmond, VA
| | $116,750 |
| 10-01620 | 05/05/2011 | Claimant(s): Donald Eckrod
Claimant Lawyers(s): W. Scott Greco
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Peter B. Vaden, Timothy P. Bogan, Christopher M. McMurray
Hearing Site: Richmond, VA
| | Expungement |
| 10-00569 | 05/05/2011 | Claimant(s): Kory Hummer
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Richard Ganz, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): William C. Boinest, Donald B. Vaden, Janice L. Burnham
Hearing Site: Richmond, VA
| | $0 |
| 10-04908 | 05/04/2011 | Claimant(s): Stamford Niou
Claimant Lawyers(s): Susan Poder MacFarlane
Respondent(s): Howard Hardin, Laurie Hardin
Respondent Lawyers(s): Mark J. Krudys
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | Expungement |
| 10-00571 | 03/24/2011 | Claimant(s): Timothy M. Moses
Claimant Lawyers(s): Robert L. Isaacs
Respondent(s): Wells Fargo Advisors, Virginia Bowie
Respondent Lawyers(s): Andrew Park
Arbitrator(s): Donita M. King
Hearing Site: Richmond, VA
| | Expungement |
| 10-00339 | 03/17/2011 | Claimant(s): Barbara Willis
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Leland Stevens, Great American Advisors., Interactive Financial Advisors.
Respondent Lawyers(s): James L. Kopecky, Joseph M. Callow, Steven D. Smith
Arbitrator(s): Roderick B. Mathews
Hearing Site: Richmond, VA
| | $0 |
