| 11-02681 | 09/14/2012 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): William French III
Respondent Lawyers(s): William Henry French III
Arbitrator(s): Alex H. Keller
Hearing Site: Charleston, WV
| | |
| 11-01303 | 10/17/2011 | Claimant(s): John Williams
Claimant Lawyers(s): Brian A. Carlis
Respondent(s): Deborah Tucker, Kenneth Tucker
Respondent Lawyers(s): Stephen Meyer
Arbitrator(s): Thomas R. Skulina, Alex H. Keller, Harvey Michael Rosenberg
Hearing Site: Charleston, WV
| | Expungement |
| 10-02569 | 07/26/2011 | Claimant(s): William Jones
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): Denis C. Dice
Arbitrator(s): Frank C. Fogl
Hearing Site: Charleston, WV
|  | Expungement |
| 11-00041 | 07/12/2011 | Claimant(s): Samuel Crichton
Claimant Lawyers(s): Todd Ratner
Respondent(s): Thomas Johnson
Respondent Lawyers(s): Robert Q. Sayre
Arbitrator(s): Bert S Cliff, James A. Laurenson
Hearing Site: Charleston, WV
| | Expungement |
| 10-05317 | 06/29/2011 | Claimant(s): Larry E. Tolbert and Jon C. Tolbert
Claimant Lawyers(s): Larry E. Tolbert
Respondent(s): Zions Direct.
Respondent Lawyers(s): Leigh Davis Schmidt
Arbitrator(s): Carol M. Stoner
Hearing Site: Charleston, WV
| | $213 |
| 10-01465 | 05/02/2011 | Claimant(s): Dolores Keener
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): David Arthur, Geneos Wealth Management., Investors Financial Advisors.
Respondent Lawyers(s): John O. Easton
Arbitrator(s): Donald B. Vaden, Alex H. Keller, John G. Byrd
Hearing Site: Charleston, WV
| | $0 |
| 09-03880 | 01/11/2011 | Claimant(s): Dan Salamie
Claimant Lawyers(s): Dana F. Eddy
Respondent(s): Bruce Conrad, TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt, William V. DePaulo
Arbitrator(s): W. Sean Kelleher, Randy Cepuch, W. Michael Frazier
Hearing Site: Charleston, WV
| | $0 |
| 09-02837 | 02/19/2010 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): L. Boyce
Respondent Lawyers(s): L. Marvin Boyce
Arbitrator(s): Bert S Cliff, John B. Glueckert, Gary R. Miles
Hearing Site: Charleston, WV
| | |
| 08-00780 | 01/19/2010 | Claimant(s): Joe Carico
Claimant Lawyers(s): Douglas V. Reynolds
Respondent(s): Marsha Adkins, Merrill Lynch Pierce Fenner & Smith Inc., Robert Powers
Respondent Lawyers(s): John A. Rollins, Terry R. Weiss
Arbitrator(s): Arnold M. Malech, Donald B. Vaden, Harold Dean Tolbert
Hearing Site: Charleston, WV
| | $0 |
| 09-02513 | 12/21/2009 | Claimant(s): Sherry Elschlager, Terry Elschlager
Claimant Lawyers(s): Stephen P. Meyer
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Henry G. Plaster
Hearing Site: Charleston, WV
| | $50,000 |
