| 09-04965 | 02/23/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Ferguson
Respondent Lawyers(s): William Allen Ferguson
Arbitrator(s): Harold Engelman
Hearing Site: Raleigh, NC
| | |
| 09-01382 | 02/23/2010 | Claimant(s): Jane Chang, Kwen-Jen Chang
Claimant Lawyers(s): Andrew O Whiteman
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Michael P. O'Mullan
Arbitrator(s): Zeb E. Barnhardt, Lynne T. Albert, David H. Grubbs
Hearing Site: Raleigh, NC
|  | $108,750 |
| 09-03826 | 02/12/2010 | Claimant(s): Dennis Frye
Claimant Lawyers(s): Dennis A. Frye
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Christine M. Hanna
Arbitrator(s): Leona Beane
Hearing Site: Raleigh, NC
| | $5,425 |
| 08-02486 | 02/03/2010 | Claimant(s): Clifford D. Spikes and Nancy P. Spikes
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): CIBC World Markets Corp.
Respondent Lawyers(s): Elizabeth Rose Aylett
Arbitrator(s): David P. McDuffee, Patricia Ann Tracey, Frank H. Livingston
Hearing Site: Raleigh, NC
| | $300 |
| 08-01644 | 08/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Richard Hobgood
Respondent Lawyers(s): Steven C. Lawrence
Arbitrator(s): James Edward Banks, Charles K. ReCorr, Michael James Childers
Hearing Site: Raleigh, NC
| | |
| 09-01804 | 08/20/2009 | Claimant(s): A.G. Edwards & Sons.
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Hobert Sanderson
Respondent Lawyers(s): Hobert K. Sanderson
Arbitrator(s): Robert S. Zuckerman
Hearing Site: Raleigh, NC
| | $0 |
| 08-00530 | 06/04/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Charles Griffin
Respondent Lawyers(s): Charles C. Griffin
Arbitrator(s): Michael Lloyd Weisel, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
| | |
| 09-00122 | 05/26/2009 | Claimant(s): Ganesh Khandpekar
Claimant Lawyers(s): Ganesh Khandpekar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | $0 |
| 08-01254 | 02/26/2009 | Claimant(s): Andrew Hoh
Claimant Lawyers(s): Christopher J. Gray
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Niels P. Murphy
Arbitrator(s): Leon Henderson, Donald Cornelius Morrison, Donald L. Horowitz
Hearing Site: Raleigh, NC
| | $92,263 |
| 08-00376 | 02/13/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): Martin Hensley
Respondent Lawyers(s): Martin D. Hensley
Arbitrator(s): Jack C. Aycock, Harold Engelman, David P. McDuffee
Hearing Site: Raleigh, NC
| | |
