| 08-04957 | 08/27/2009 | Claimant(s): Sally Geis
Claimant Lawyers(s): Jim Geis
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): John Fleming Kelly, Peter D. Bowes, Charles A. Newton
Hearing Site: Denver, CO
|  | $100,225 |
| 08-04600 | 07/31/2009 | Claimant(s): Susan Regan, Susan M. Regan Trust
Claimant Lawyers(s): Robert W. Hutchinson
Respondent(s): Scott Kozak, Multi-Financial Securities Corporation
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Marc H. Schtul, Marilyn R. Lewis, Lawrence Douglas Brookes
Hearing Site: Denver, CO
| | $52,050 |
| 08-02048 | 07/21/2009 | Claimant(s): Carol Ruch
Claimant Lawyers(s): Thomas L. Krebs
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carl S. Burkhalter
Arbitrator(s): Larry D. Hayden, Thaddeus J. Tecza, John A. Criswell
Hearing Site: Denver, CO
| | $0 |
| 07-03012 | 07/13/2009 | Claimant(s): J.P. Turner & Company, L.L.C.
Claimant Lawyers(s): Richard J. Babnick
Respondent(s): Roger May
Respondent Lawyers(s): Thomas D. Birge
Arbitrator(s): Arthur E. Otten, Mary C. Davis, Patricia Mary Vondra
Hearing Site: Denver, CO
| | |
| 08-02517 | 07/01/2009 | Claimant(s): Rosalin Rogers, George R. Joyce and Dorothy R. Joyce, Mark L. Thompson Trust
Claimant Lawyers(s): John Courtade
Respondent(s): United Securities Alliance.
Respondent Lawyers(s): Brenda N. Hight
Arbitrator(s): George H. Reeves, Suanne M. Parro, Federico C. Alvarez
Hearing Site: Denver, CO
| | $830,409 |
| 08-04554 | 06/18/2009 | Claimant(s): Richard Liechty
Claimant Lawyers(s): Richard C. Liechty
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Carl G. Mohr
Hearing Site: Denver, CO
| | $0 |
| 08-04581 | 05/28/2009 | Claimant(s): Stewart Mcfadden
Claimant Lawyers(s): Stewart McFadden
Respondent(s): U.S. Bancorp Investments.
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): William F. Skewes
Hearing Site: Denver, CO
| | |
| 08-03893 | 05/11/2009 | Claimant(s): Robert Regenold
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Matthew W. McInteer
Arbitrator(s): Patricia Gunn
Hearing Site: Denver, CO
| | $213 |
| 08-01231 | 04/30/2009 | Claimant(s): James O'Rorke
Claimant Lawyers(s): Patrick Baldwin
Respondent(s): Charles Schwab & Co.., Mark Haenny
Respondent Lawyers(s): Holly Stein Sollod
Arbitrator(s): Thaddeus J. Tecza, Marilyn R. Lewis, Patricia Mary Vondra
Hearing Site: Denver, CO
| | $33,124 |
| 08-00169 | 04/21/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Bryant Hayward, Richard Holm, Robert Corona
Respondent Lawyers(s): Charles H. Torres, Timothy N. Will
Arbitrator(s): Suanne M. Parro, Luis D. Rovira, Wylie G. Hairgrove
Hearing Site: Denver, CO
| | |
