| 10-01182 | 01/31/2011 | Claimant(s): Howard Semones
Claimant Lawyers(s): Kevin W. Holt
Respondent(s): Paul Curran, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
|  | Expungement |
| 10-03036 | 01/04/2011 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jim Van Dyke
Respondent(s): Michael Miller
Respondent Lawyers(s): J. Benjamin Dick
Arbitrator(s): Nelson I. Fishman
Hearing Site: Richmond, VA
| | |
| 10-00819 | 12/29/2010 | Claimant(s): Franklin Trice, Julia Gibbs
Claimant Lawyers(s): John E. Davidson
Respondent(s): John Pasco, Commonwealth Capital Management, Commonwealth Shareholder Services., First Dominion Capital Corp.
Respondent Lawyers(s): Robert M. Goldich, Steven M. Felsenstein
Arbitrator(s): Donald B. Vaden, James A. Cummings, John D. Robb
Hearing Site: Richmond, VA
| | |
| 09-05407 | 12/06/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Goldberg
Respondent(s): Joshua Cuff
Respondent Lawyers(s): Joshua Cuff
Arbitrator(s): David Paul Clark
Hearing Site: Richmond, VA
| | |
| 09-04654 | 11/23/2010 | Claimant(s): Eddie Creasy, Virginia Creasy, Eddie & Virginia Creasy Trust DTD 5/5/08
Claimant Lawyers(s): Richard J. Edson
Respondent(s): Carol Ham, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Kathryn J. Bushby, Kathryn R. Eldridge
Arbitrator(s): Leon Henderson, Chris J. Conanan, John W. Lewis
Hearing Site: Richmond, VA
| | $225 |
| 10-00926 | 11/23/2010 | Claimant(s): Alice Barnes
Claimant Lawyers(s): Anita S. Ferrara
Respondent(s): John Bangit, Laura Tedball, William Knoble
Respondent Lawyers(s): Jeremy S. Hyndman
Arbitrator(s): Jane C. Carney
Hearing Site: Richmond, VA
| | $0 |
| 10-01788 | 09/08/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): James L. Komie
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Marshall S. Galinsky
Hearing Site: Richmond, VA
| | |
| 10-00219 | 08/05/2010 | Claimant(s): Charles Stoveken
Claimant Lawyers(s): Charles B. Stoveken
Respondent(s): William Medlin, Equity Concepts, L.L.C., Sanders Morris Harris Inc.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
| | $4,818 |
| 09-06086 | 07/15/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Todd Ratner
Respondent(s): Felix Deacon
Respondent Lawyers(s): Felix E. Deacon
Arbitrator(s): Thomas W. Steed
Hearing Site: Richmond, VA
| | |
| 09-04116 | 07/09/2010 | Claimant(s): Michael Hannon, The Michael Hannon Rev. Trust dtd 5/5/93
Claimant Lawyers(s): Andrew Park
Respondent(s): J.P. Morgan Securities
Respondent Lawyers(s): Stephanie P. Karn
Arbitrator(s): Carol A. Schuyler, Carl F. Bowmer, Robert L. Hinson
Hearing Site: Richmond, VA
| | $2,032,470 |
