| 09-06999 | 09/26/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Marc Perkins
Respondent Lawyers(s): Marc Perkins
Arbitrator(s): Donald B. Vaden
Hearing Site: Charlotte, NC
| | |
| 10-00569 | 05/05/2011 | Claimant(s): Kory Hummer
Claimant Lawyers(s): Joseph E. Gasperetti
Respondent(s): Richard Ganz, H. Beck.
Respondent Lawyers(s): Matthew Tracy
Arbitrator(s): William C. Boinest, Donald B. Vaden, Janice L. Burnham
Hearing Site: Richmond, VA
|  | $0 |
| 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 |
| 10-03360 | 01/06/2011 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Paul T. Cahill
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Donald B. Vaden
Hearing Site: Washington, DC
| | |
| 10-00819 | 12/29/2010 | Claimant(s): Franklin Trice, Julia Gibbs
Claimant Lawyers(s): John E. Davidson
Respondent(s): John Pasco, Commonwealth Capital Management, Commonwealth Shareholder Services., First Dominion Capital Corp.
Respondent Lawyers(s): Robert M. Goldich, Steven M. Felsenstein
Arbitrator(s): Donald B. Vaden, James A. Cummings, John D. Robb
Hearing Site: Richmond, VA
| | |
| 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 |
| 07-03227 | 11/12/2008 | Claimant(s): Bayan Jamous, Feda Jamous
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): A.J. Keyser, Wachovia Securities, Robert Schneller
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): John J. Muldowney, Donald B. Vaden, Arthur B. O'Connell
Hearing Site: Richmond, VA
| | $525,000 |
| 07-00273 | 08/15/2007 | Claimant(s): Stanley Legum
Claimant Lawyers(s): Stanley D. Legum
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Donald B. Vaden, James Tyler Pugh, Overman Randolph Rollins
Hearing Site: Norfolk, VA
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