| 10-03052 | 07/30/2012 | Claimant(s): Isabel Giacomantonio, Isabel Giacomantonio IRA, Isabel Giacomantonio Trust dtd 10/13/09
Claimant Lawyers(s): Joseph S. Spiegel
Respondent(s): Wachovia Securities, Wells Fargo Advisors, Robert Morian
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Barry Goldman, Norman A. Samson, Benjamin A. Kerner
Hearing Site: Detroit, MI
|  | $49,500 |
| 10-04833 | 02/28/2012 | Claimant(s): Carol Mitchell-Gears, Keith Mitchell-Gears
Claimant Lawyers(s): Irwin Stein, Tanya Sacks
Respondent(s): August Stock, Jerome Rydell, John McClellan, Sigma Financial Corporation
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Joe S. Tarrer, Ralph H. Martin, Robert S. Baran
Hearing Site: Phoenix, AZ
| | Expungement |
| 09-02054 | 07/09/2010 | Claimant(s): Brett Eliason, E. Finch, Veronique Eliason, Daydream Trading, NBF Capital
Claimant Lawyers(s): Matthew R. Lewis
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): A. O. Headman, Richard J. Lawrence, Thomas R. Bromberg
Hearing Site: Salt Lake City, UT
| | $6,924,500 |
| 08-04168 | 11/20/2009 | Claimant(s): Amar Paul Sawhney
Claimant Lawyers(s): Amar Paul Singh Sawhney
Respondent(s): Brian Furrow, Frank Sullivan, TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Robert C. Upton, Allen J. Krouse, Brian P. Jakes
Hearing Site: New Orleans, LA
| | $0 |
