09-05246 | 01/11/2011 | Claimant(s): FTB, GC&KB Investments. Claimant Lawyers(s): Stephen D. Marx Respondent(s): Morgan Stanley Respondent Lawyers(s): Thomas A. Roberts Arbitrator(s): Robert H. Putnam, Frederick S. Duncan, Mario Alberto Arteaga Hearing Site: New Orleans, LA
| | $85,507 |
10-01420 | 08/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Beth Delaney Respondent(s): Sherrey Harper Respondent Lawyers(s): Sherrey A. Harper Arbitrator(s): Robert H. Putnam Hearing Site: Houston, TX
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09-05916 | 08/05/2010 | Claimant(s): David Miller Claimant Lawyers(s): William G. Leonard Respondent(s): Ameriprise Financial Services. Respondent Lawyers(s): Julie Fleming-Wolfe Arbitrator(s): Robert H. Putnam, George S. Willingham, Wallace T. Tanksley Hearing Site: Atlanta, GA
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09-04514 | 06/10/2010 | Claimant(s): Virginia Kaye Corley Claimant Lawyers(s): Barry D. Broome Respondent(s): Wachovia Securities, James Stanley, Kathy Daisey, Kim Thomas, Kristin Sarafinis, Luther Reames, Mark Moore, Scott Tittle, Steve Kelleher Respondent Lawyers(s): Deirdre Wolff Arbitrator(s): Robert H. Putnam, Mollie Wagner Neal, Alfred Lee Dingler Hearing Site: Atlanta, GA
| | $0 |
09-05201 | 04/19/2010 | Claimant(s): Saul Crafton Claimant Lawyers(s): Saul Crafton Respondent(s): TD Ameritrade Clearing. Respondent Lawyers(s): Catherine Luth Arbitrator(s): Robert H. Putnam Hearing Site: Jacksonville, FL
| | $257 |
09-04067 | 03/02/2010 | Claimant(s): Cleveland Foret, Joan Foret Claimant Lawyers(s): James F. Willeford Respondent(s): Legg Mason Wood Walker, Sterne, Agee & Leach. Respondent Lawyers(s): Jason W. Gaarder, Meredith Jowers Lees Arbitrator(s): Robert H. Putnam, Michael T. Nobile, William Gilbert Faulk Hearing Site: New Orleans, LA
| | Dismissed by Rule 12206 |
09-06178 | 02/26/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jeffrey M. Csercsevits Respondent(s): David Raack Respondent Lawyers(s): David Raack Arbitrator(s): Robert H. Putnam Hearing Site: Houston, TX
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09-05600 | 02/25/2010 | Claimant(s): Bruce Brookshire Claimant Lawyers(s): Bruce C. Brookshire Respondent(s): George Hamby, James Day, Capitol Securities Management. Respondent Lawyers(s): Janet K. DeCosta Arbitrator(s): Robert H. Putnam Hearing Site: New Orleans, LA
| | $0 |
08-00158 | 09/03/2009 | Claimant(s): Nilmaris Cardona Claimant Lawyers(s): Paul Vilaro Nelms Respondent(s): David Lugo Sanchez, UBS Financial Services Incorporated of P Respondent Lawyers(s): Carlos Bobonis-Gonzalez Arbitrator(s): Robert H. Putnam, Alan B. Goldstein, Edward Arthur Horton Hearing Site: San Juan, PR
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08-00622 | 07/22/2009 | Claimant(s): Candace Patterson, William Patterson Claimant Lawyers(s): Steven J. Gard Respondent(s): Century Securities Associates. Respondent Lawyers(s): Christopher G. Lazarini Arbitrator(s): Robert H. Putnam, Arthur P. Barry, Bonnie B. Revoner Hearing Site: Atlanta, GA
| | $0 |