| 09-00757 | 12/22/2009 | Claimant(s): Linda Whitney
Claimant Lawyers(s): Linda Whitney
Respondent(s): Alan Krockover, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
|  | $0 |
| 09-03955 | 12/15/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Chad Gottlieb
Respondent(s): Matthew Houston
Respondent Lawyers(s): Matthew Salvador Houston
Arbitrator(s): John Michael Watson
Hearing Site: Houston, TX
| | |
| 09-00767 | 11/24/2009 | Claimant(s): Anthony Peterman
Claimant Lawyers(s): Anthony Peterman
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Steve R. Neuman
Hearing Site: Houston, TX
| | $9,997 |
| 09-01912 | 11/10/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Alana Sanderson, Mark Bratton
Respondent Lawyers(s): Martin S. Schexnayder
Arbitrator(s): Mark C. Watler, Ross D. Friend, Oren L. Connaway
Hearing Site: Houston, TX
| | |
| 08-02547 | 11/04/2009 | Claimant(s): Dana Gribi
Claimant Lawyers(s): Jack W. Cunningham
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): David R. Maurer
Arbitrator(s): Donald K. Eckhardt, Martin Samuel Altimore, Jeffrey R. Jury
Hearing Site: Houston, TX
| | $7,500 |
| 08-03252 | 10/26/2009 | Claimant(s): Lavon Voyles
Claimant Lawyers(s): Richard H. Elliot
Respondent(s): Walter Wilson, ING Financial Partners.
Respondent Lawyers(s): Greg Moore
Arbitrator(s): Linda Broocks, Philip I. McConnell, Lynne M. Gomez
Hearing Site: Houston, TX
| | $300 |
| 08-03604 | 10/16/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): James Hutchison
Respondent Lawyers(s): James P. Hutchison
Arbitrator(s): Gregory E. Cater, Michael C. Hempfling, Matthew Crump
Hearing Site: Houston, TX
| | |
| 09-02071 | 10/16/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Lawrence Mcintosh
Respondent Lawyers(s): Lawrence Clyde Mcintosh
Arbitrator(s): James G. Cooper, Eli Bensky, Dale A. Hearn
Hearing Site: Houston, TX
| | |
| 08-03867 | 10/12/2009 | Claimant(s): Sandra Muns
Claimant Lawyers(s): Sandra Muns
Respondent(s): Tyler Johns, Edward Jones
Respondent Lawyers(s): Donald R. Littlefield
Arbitrator(s): Leonard J. Sullivan
Hearing Site: Houston, TX
| | $0 |
| 08-04508 | 10/09/2009 | Claimant(s): Elva Vasquez
Claimant Lawyers(s): Randall A. Pulman
Respondent(s): Chase Investment Services Corp., Jonathan Cromwell, Thomas Davila
Respondent Lawyers(s): Bradley J. Johnson
Arbitrator(s): Randall W Heinrich, James Sean Healey, William Richard Smith
Hearing Site: Houston, TX
| | $75,000 |
