| 09-00819 | 12/07/2009 | Claimant(s): Kathleen Castle, Trustee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): John J. George, James W. Warren, William Patterson Cashill
Hearing Site: Reno, NV
|  | $57,981 |
| 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 |
| 08-02082 | 07/14/2009 | Claimant(s): Everett Ross, Imogene Ross, Everett C & Imogene G Ross T U/A DTD 10/, Trustee
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Nancy J. Spieczny, James H. Fehlberg, Kevin K. Forrester
Hearing Site: San Diego, CA
| | $173,798 |
| 08-01276 | 05/07/2009 | Claimant(s): Diana Landau, Trustee
Claimant Lawyers(s): David Neuman
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): Michael S. Hill, Bruce D. Horton, Kathryn Elizabeth Murphy
Hearing Site: St. Louis, MO
| | $145,740 |
| 08-03794 | 05/04/2009 | Claimant(s): Lila Kliegman, Trustee
Claimant Lawyers(s): Jeffrey B. Kaplan
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Brian C. Hale
Arbitrator(s): Norman L. Weiss
Hearing Site: Boca Raton, FL
| | $213 |
| 08-02018 | 04/16/2009 | Claimant(s): Holly Angell Hardman, Trustee
Claimant Lawyers(s): Ari J. Hoffman
Respondent(s): Arthur Grossbard, Royal Alliance Associates.
Respondent Lawyers(s): Thomas M. Campbell
Arbitrator(s): June Y. Kilmarx, Howard M. Miller, Peter Svorinic
Hearing Site: Boston, MA
| | $0 |
| 07-03487 | 12/10/2008 | Claimant(s): Vincent P. Miraglia, MD, PA, Trustee
Claimant Lawyers(s): Richard A. Stephens
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Jason S. Haselkorn
Arbitrator(s): Marie G. Peterson, Barry S. Shanbron, James Chris Mills
Hearing Site: Boca Raton, FL
| | $0 |
