| 10-03013 | 12/22/2010 | Claimant(s): Judith B. Rothenberg IRA
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Richard J. Kaplan
Hearing Site: Ft. Lauderdale, FL
|  | $31,673 |
| 10-01015 | 12/21/2010 | Claimant(s): Stewart & Frieda Fuhrmann JT TEN
Claimant Lawyers(s): Stewart M. Fuhrmann
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Abraham Harry Bunis
Hearing Site: Newark, NJ
| | $0 |
| 10-02475 | 12/20/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Joel Davis
Respondent Lawyers(s): Joel Bernard Davis
Arbitrator(s): Robert M. Stein
Hearing Site: Portland, OR
| | |
| 10-02680 | 12/20/2010 | Claimant(s): Elizabeth Stana
Claimant Lawyers(s): Jason R. Doss
Respondent(s): Invesco Aim Distributors.
Respondent Lawyers(s): Robert P. Riordan
Arbitrator(s): Ralph S. Paden, William Mase Moxley, Floyd W. McRae
Hearing Site: Atlanta, GA
| | |
| 10-02607 | 12/20/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Dennis Hildebrandt, Dennis D. Hildebrandt Trust U/A DTD 5/25
Respondent Lawyers(s): Dennis D. Hildebrandt, Glenn C. McElroy
Arbitrator(s): Donald S. Simons
Hearing Site: Los Angeles, CA
| | $0 |
| 09-00339 | 12/20/2010 | Claimant(s): Dominic Annino, DVA Family Trust
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Wells Fargo Investments, Kennon Klein
Respondent Lawyers(s): G. Thomas Fleming
Arbitrator(s): Elizabeth A. Copley, Milton N. Gross, Ara Kassabian
Hearing Site: Los Angeles, CA
| | $125,000 |
| 09-02087 | 12/20/2010 | Claimant(s): Thomas Motamed, Thomas Motamed and Christine Motamed
Claimant Lawyers(s): G. Trenholm Walker
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Richard L Martens
Arbitrator(s): Carol Corbett, John L. Braxton, Patrick R. Westerkamp, Esq.
Hearing Site: Philadelphia, PA
| | $2,200,000 |
| 09-04471 | 12/20/2010 | Claimant(s): The Vallone Family 1985 Trust
Claimant Lawyers(s): Richard J. Annen,
Respondent(s): Wachovia Securities, Victor Koby
Respondent Lawyers(s): Judy Louie
Arbitrator(s): Kelly A. Barker, Mandel E. Himelstein, Mary Elizabeth Geerdes
Hearing Site: San Diego, CA
| | $210,891 |
| 10-00987 | 12/20/2010 | Claimant(s): Marianne Iamele
Claimant Lawyers(s): Merritt N. Spencer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Richard F. Dole, Maurice J. Fallas, Danielle L. Hargrove
Hearing Site: Houston, TX
| | $65,686 |
| 09-02082 | 12/20/2010 | Claimant(s): Donald Hanks
Claimant Lawyers(s): Don F. Hanks
Respondent(s): Betty Saunders, Raymond, James & Associates., Susan Saunders
Respondent Lawyers(s): Kelli Bullington, William W. Deem
Arbitrator(s): Robert W. Schlitt, Maurice M. Feller, Robert S. Anderson
Hearing Site: Orlando, FL
| | $0 |
