| 08-04021 | 10/29/2009 | Claimant(s): Carol A. Villamana Trustee of, Louis C. Villamana Trustee of
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kenneth G. Crowley
Arbitrator(s): Roger L. Crossland, Marvin H. Ginsky, Henry Theodore Vogt
Hearing Site: Hartford, CT
|  | $75,616 |
| 07-02564 | 09/30/2009 | Claimant(s): TD Banknorth, N.A.
Claimant Lawyers(s): Thomas W. Witherington
Respondent(s): Jeffrey Davis, National Planning Corporation
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Samuel H. Chorches, Philip S. Wellman, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 08-04338 | 09/15/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andrew Prophet
Respondent Lawyers(s): Andrew Seafus Prophet
Arbitrator(s): Dallas Whitney Coffman
Hearing Site: Hartford, CT
| | |
| 09-00346 | 07/27/2009 | Claimant(s): G. Reagan Shanley III & Deidre F. Shanle
Claimant Lawyers(s): G. Shanley Reagan
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $213 |
| 08-00773 | 06/24/2009 | Claimant(s): Natalie Bram, Natalie Bram Living Trust
Claimant Lawyers(s): Theodore M. Davis
Respondent(s): Baruch Coleman, Jerry Cline, Capital Securities of America., Wunderlich Securities.
Respondent Lawyers(s): Baruch Coleman, Steven E. Mellen
Arbitrator(s): David Ellis, Steven R. Rolnick, C. Henry Lucas
Hearing Site: Hartford, CT
| | $228,200 |
| 08-01786 | 06/10/2009 | Claimant(s): Radhakrishnan Nair
Claimant Lawyers(s): Radhakrishnan Nair
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): E. Andre Velez
Arbitrator(s): Cheryl H. Agris, Mary Elizabeth Satran, Eileen Devaney Leo
Hearing Site: Hartford, CT
| | |
| 08-04550 | 05/14/2009 | Claimant(s): Douglas Quine
Claimant Lawyers(s): Douglas Boynton Quine
Respondent(s): Computershare Securities Corporation
Respondent Lawyers(s): April J. Lindauer
Arbitrator(s): Marvin H. Ginsky
Hearing Site: Hartford, CT
| | $330 |
| 08-02996 | 04/08/2009 | Claimant(s): Sabato Frusciante
Claimant Lawyers(s): Louis RisCassi
Respondent(s): David Kunold, Uvest Financial Services Group.
Respondent Lawyers(s): Sara B. Davis
Arbitrator(s): Robert L. Chase
Hearing Site: Hartford, CT
| | $0 |
| 08-03497 | 03/18/2009 | Claimant(s): Kevin Kloski
Claimant Lawyers(s): Kevin M. Kloski
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin Choi
Arbitrator(s): Chesley Oriel
Hearing Site: Hartford, CT
| | |
| 08-02733 | 02/26/2009 | Claimant(s): OptionsHouse.
Claimant Lawyers(s): Lesley G. Smith
Respondent(s): Robert Taddeo
Respondent Lawyers(s): Robert Taddeo
Arbitrator(s): Diane Getzler
Hearing Site: Hartford, CT
| | $0 |
