| 08-04519 | 11/13/2009 | Claimant(s): Nick C. Dailey and Rose Marie Dailey
Claimant Lawyers(s): Rene J. Kern
Respondent(s): David Miller, Mutual Securities.
Respondent Lawyers(s): David R. Miller, Jason T. Dennett
Arbitrator(s): Robert D. Sussin, Grace L. Heyne, Daniel David Kopman
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-00638 | 09/14/2009 | Claimant(s): Nancy C. Wood, Trustee
Claimant Lawyers(s): Nancy C. Wood
Respondent(s): Bill Kearney, Merrill Lynch Pierce Fenner & Smith Inc., Michael Phillip, Steven Neibert
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $213 |
| 08-03574 | 08/31/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Heinz Teltscher
Respondent Lawyers(s): Thomas K. Heinz Teltscher
Arbitrator(s): Robert D. Sussin, Gerald C. Tambe, William J. Adams
Hearing Site: Los Angeles, CA
| | |
| 06-04192 | 03/12/2008 | Claimant(s): The Thomas P. Matula Liv. Trust 12/05
Claimant Lawyers(s): C. Darrell Sooy
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Jeffrey F. Silverman
Arbitrator(s): Robert D. Sussin, Ronald E. Ogden, Rosa Linda Guadarrama
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04176 | 11/14/2007 | Claimant(s): Anne McDowell, Joseph Richter
Claimant Lawyers(s): Joseph M. Richter
Respondent(s): Morgan Stanley DW Inc., Lydia Hopps
Respondent Lawyers(s): Cal G. Gonzales
Arbitrator(s): Robert D. Sussin, Gerald F. Corrigan, Russell T. Doe
Hearing Site: Los Angeles, CA
| | $0 |
| 06-04210 | 09/05/2007 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas Volz
Respondent(s): Javier Ruedas
Respondent Lawyers(s): Dean R. Kitano
Arbitrator(s): Robert D. Sussin, Blaine Smith, Dennis A. Torres
Hearing Site: Los Angeles, CA
| | |
