| 10-02864 | 11/23/2010 | Claimant(s): Gordon W. Leech and Robbie L. Leech, Joi
Claimant Lawyers(s): J. Michael Jordan
Respondent(s): Darin Pierce, Commonwealth Financial Network
Respondent Lawyers(s): Joe Tully
Arbitrator(s): Patricia Ann Tracey
Hearing Site: Columbia, SC
|  | $3,425 |
| 09-02891 | 11/22/2010 | Claimant(s): Jeffrey Garske
Claimant Lawyers(s): Seth Huberman
Respondent(s): Gregory Knight, Max International Broker/Dealer Corp
Respondent Lawyers(s): Timothy Feil
Arbitrator(s): Mitchell M. Willoughby, N. John Garcia, Thomas Christopher Tuck
Hearing Site: Columbia, SC
| | $200,896 |
| 10-01990 | 11/11/2010 | Claimant(s): James E. Rice and Trudy C. Rice
Claimant Lawyers(s): James E Rice
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith Felde
Arbitrator(s): Thomas W. Steed
Hearing Site: Columbia, SC
| | $6,655 |
| 09-06846 | 10/15/2010 | Claimant(s): Jeffrey McMorrow
Claimant Lawyers(s): Jeffrey Paul McMorrow
Respondent(s): Banc of America Investment Services Inc., Ryan Tidwell
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): Glenn R. Oxner, James F. Major, William F. Julavits
Hearing Site: Columbia, SC
| | $0 |
| 09-03557 | 10/14/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Ronald P. Kane
Respondent(s): Paul Callander
Respondent Lawyers(s): Wendy L. Wilkie
Arbitrator(s): Harold G. Koger
Hearing Site: Columbia, SC
| | |
| 09-02899 | 10/05/2010 | Claimant(s): Gary Harris
Claimant Lawyers(s): Gary G. Harris
Respondent(s): Wachovia Securities, Jeremy Bishop
Respondent Lawyers(s): Todd Ratner
Arbitrator(s): Thomas C. Harris
Hearing Site: Columbia, SC
| | $0 |
| 09-07168 | 07/20/2010 | Claimant(s): Cecelia Cook
Claimant Lawyers(s): Cecelia Wilson Cook
Respondent(s): LPL Financial LLC, Randall Dyches
Respondent Lawyers(s): Jennifer L. Carpenter
Arbitrator(s): Donald G. Kennedy
Hearing Site: Columbia, SC
| | $213 |
| 09-04768 | 07/09/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Stephen D. Burns
Respondent(s): Clifford Carnes
Respondent Lawyers(s): Clifford K. Carnes
Arbitrator(s): Antoinette C. Robbins
Hearing Site: Columbia, SC
| | |
| 09-04293 | 04/30/2010 | Claimant(s): Sandra Boardman
Claimant Lawyers(s): William M. Bowen
Respondent(s): Bertin Stuckart, David Ruckno, UBS Financial Services Inc.
Respondent Lawyers(s): Joseph C. Coates, III
Arbitrator(s): Zeb E. Barnhardt, Charles L. Measter, Emmet Francis Martin
Hearing Site: Columbia, SC
| | $0 |
| 08-02137 | 12/18/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Kathryn Bedke
Respondent(s): Stifel, Nicolaus & Co.., Frank Brand, George Stukes, Marvin Slaughter, Stephen Jones
Respondent Lawyers(s): Joseph A. Dougherty
Arbitrator(s): J. Kirkland Grant, Frank Samuel Perri, John Wescoat Sandlin
Hearing Site: Columbia, SC
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