| 08-04152 | 11/20/2009 | Claimant(s): Patricia Flanagan
Claimant Lawyers(s): Jacob H. Zamansky
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard L. Martens
Arbitrator(s): Patricia Ann Tracey, Thomas Lee Eubanks, John G. Shamp
Hearing Site: Columbia, SC
|  | $185,000 |
| 08-03946 | 11/17/2009 | Claimant(s): William Helms
Claimant Lawyers(s): Teresa Davis Bulford
Respondent(s): Wachovia Securities, James Covington
Respondent Lawyers(s): David N. Jonson
Arbitrator(s): Charles L. Measter, James C. Hoover, Charles Stanley Lomax
Hearing Site: Columbia, SC
| | $0 |
| 09-02231 | 10/19/2009 | Claimant(s): Edward Ifkovits, Edward E. Ifkovits IRA
Claimant Lawyers(s): J. Boyd Page
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn A. Christensen
Arbitrator(s): Zeb E. Barnhardt
Hearing Site: Columbia, SC
| | $9,062 |
| 08-00249 | 12/16/2008 | Claimant(s): William Goldstein, M.D.
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): Emmett A. Larkin Company.
Respondent Lawyers(s): Brandon S. Reif
Arbitrator(s): Victor F. Alvarez, Sarah G. Anderson, James C. Hoover
Hearing Site: Columbia, SC
| | $39,468 |
| 06-02137 | 04/03/2008 | Claimant(s): Wayne D. and H. Kaye McCullough
Claimant Lawyers(s): Elizabeth Zeck
Respondent(s): James Barnett, Jane Smith, Jane B. Smith, CFP & Associates., Jefferson Pilot Securities Corporation
Respondent Lawyers(s): Alan M. Herman, Andrew V. Tramont
Arbitrator(s): Glenn A. Clinefelter, Wendy J. Reyner, Laura Puccia Valtorta
Hearing Site: Columbia, SC
| | Expungement |
| 07-02806 | 03/28/2008 | Claimant(s): Jennifer Coradi
Claimant Lawyers(s): Jennifer Coradi
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Susan Nock
Arbitrator(s): Joe Carroll Thomas
Hearing Site: Columbia, SC
| | $0 |
| 07-00520 | 03/19/2008 | Claimant(s): Calvin Smith #37345-004, Errell Heflin- REG# 79150-012, George Eiland- REG# 99770-131, Roger Lunsford- REG# 21241-057
Claimant Lawyers(s): Calvin Smith- REG# 37345-004, Errell Glenn Heflin - REG# 79150-012, George W. Eiland - REG#99770-131, Roger K. Lunsford- REG# 21241-057
Respondent(s): Thomas Leechin, Nations Financial Group., RBC Dain Rauscher Inc.
Respondent Lawyers(s): Bryan Keane, William T. McCartan
Arbitrator(s): Glenn R. Oxner, Laurence M. Scoville, Robert S. Zuckerman
Hearing Site: Columbia, SC
| | $0 |
| 07-00795 | 02/19/2008 | Claimant(s): Hugo Castro
Claimant Lawyers(s): Hugo Castro
Respondent(s): Frank Fierro, Legg Mason Wood Walker
Respondent Lawyers(s): Gretchen Klebasko
Arbitrator(s): J. Kirkland Grant, N. John Garcia, Dana R. Krajack
Hearing Site: Columbia, SC
| | $5,604 |
| 07-01608 | 01/04/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Thomas Mitchell
Respondent Lawyers(s): Thomas Mitchell
Arbitrator(s): Ronnie Edward Nichols, Glenn A. Clinefelter, John Wescoat Sandlin
Hearing Site: Columbia, SC
| | |
| 06-05381 | 12/18/2007 | Claimant(s): Robert Lee Gilbert Trust, TTEE Robert
Claimant Lawyers(s): Robert L. Gilbert
Respondent(s): Brian Mayer, David Smith, McGinn, Smith & Co..
Respondent Lawyers(s): James E. Hacker
Arbitrator(s): Zeb E. Barnhardt
Hearing Site: Columbia, SC
| | $0 |
