09-05535 | 02/22/2011 | Claimant(s): Maria Thornton Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Julie Wilson Portera Arbitrator(s): John P. Cullem, Constance d'Angelis, Howard L. Hill Hearing Site: Tampa, FL
| | $25,200 |
09-02239 | 11/16/2010 | Claimant(s): Aldrich Fernandez Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Wachovia Securities Respondent Lawyers(s): William M. Turner Arbitrator(s): Judith A. Gust, Robert John Wagener, E. Milton Frosburg Hearing Site: San Diego, CA
| | $0 |
09-05044 | 10/08/2010 | Claimant(s): Alan Biren, John Tucker Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Banc of America Investment Services Inc. Respondent Lawyers(s): John K. Wells Arbitrator(s): Kelly M. Lonergan, Patrick W. McKeon, John J. Kenny Hearing Site: Boston, MA
| | $1,085,600 |
09-00993 | 04/22/2010 | Claimant(s): The Alan B. White Trust Claimant Lawyers(s): Bruce D. Oakes Respondent(s): ITradeDirect.com Corporation Respondent Lawyers(s): Eric Arlt Arbitrator(s): James B. Vessey, George J. Karlsven, Russell K. Cannon Hearing Site: Salt Lake City, UT
| | $529,470 |
08-04418 | 03/09/2010 | Claimant(s): Charles Osterman Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Morgan Stanley & Co. Respondent Lawyers(s): Cal G. Gonzales Arbitrator(s): Lehman W. Williams, Merton E. Marks, Loren Scott Buell Hearing Site: Phoenix, AZ
| | $309,320 |
06-01762 | 11/24/2009 | Claimant(s): Dan Wittman Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Sean J. Coughlin Arbitrator(s): Michael L. Lyons, Robert J. Beck, Robert W. Dempsey Hearing Site: St. Louis, MO
| | $75,300 |
07-02062 | 08/05/2009 | Claimant(s): Glen Stone, Sandra Stone Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): David E. Bamberger Arbitrator(s): Robert R. Nursey, Robert L. Chisolm, Robert J. Gregory Hearing Site: Dallas, TX
| | $0 |
05-05872 | 06/04/2009 | Claimant(s): Lloyd and Edith Kippley Claimant Lawyers(s): Bruce D. Oakes Respondent(s): First Republic Group Respondent Lawyers(s): Steven E. Mellen Arbitrator(s): Emanuel V. Gumina, James R. Schoenike, William B. Ross Hearing Site: Milwaukee, WI
| | $134,504 |
06-02307 | 10/15/2008 | Claimant(s): Robert J. and Betty J. Treat Claimant Lawyers(s): Bruce D. Oakes Respondent(s): 1717 Capital Management Company Respondent Lawyers(s): Natalie T. Furniss Arbitrator(s): Mark D. Sadow, John R. Loss, Jeffrey Caleb Etter Hearing Site: St. Louis, MO
| | $99,295 |
06-01679 | 08/20/2008 | Claimant(s): Robert Montanino Claimant Lawyers(s): Bruce D. Oakes Respondent(s): Ameriprise Advisor Services. Respondent Lawyers(s): Donald P. Wray Arbitrator(s): Richard L. Herzfeld, Donald Raymond McNally, Mary Noe Hearing Site: New York, NY
| | $40,000 |