| 10-01294 | 12/01/2010 | Claimant(s): Dellmer Seitter, Patty Seitter
Claimant Lawyers(s): Dellmer B. Seitter
Respondent(s): SunTrust Investment Services., Jerry Smith
Respondent Lawyers(s): Erica Thomas Meyers
Arbitrator(s): Leon Henderson
Hearing Site: Raleigh, NC
|  | $0 |
| 10-01909 | 12/01/2010 | Claimant(s): James Harrington
Claimant Lawyers(s): James E Harrington
Respondent(s): Securities America.
Respondent Lawyers(s): Kelly R. Davis
Arbitrator(s): Madelyn A. Levy, David J. Pine, Lori H. Carena
Hearing Site: New York, NY
| | $0 |
| 10-02239 | 12/01/2010 | Claimant(s): Dorothy Fuchs, Dorothy Fuchs IRA R/O, Dorothy Fuchs ROTH IRA
Claimant Lawyers(s): Steven C. Fuchs
Respondent(s): Richard Caplin
Respondent Lawyers(s): Eugene L. Small
Arbitrator(s): Dorothy E. Morris
Hearing Site: New York, NY
| | $213 |
| 09-03578 | 11/30/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Douglas Kuhlman
Respondent Lawyers(s): Robert D. Kehoe
Arbitrator(s): Mitchell B. Goldberg, Mark L. Ferris, Dieter Domanovic
Hearing Site: Cleveland, OH
| | |
| 10-00620 | 11/30/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William Schmitt
Respondent(s): Robert Wilder
Respondent Lawyers(s): Robert Scott Wilder
Arbitrator(s): Michael J. Stern, Harvey R. Linder, Mohr Ernest Hill
Hearing Site: Atlanta, GA
| | |
| 10-02816 | 11/30/2010 | Claimant(s): Wedbush Securities Inc.
Claimant Lawyers(s): Charles LaChaussee
Respondent(s): Robert Gunning
Respondent Lawyers(s): Robert Holmes Gunning
Arbitrator(s): Lester Friedman
Hearing Site: Los Angeles, CA
| | |
| 09-03452 | 11/30/2010 | Claimant(s): Angelo Luongo, John Giambrone, Kathryn Roda, Marion Luongo
Claimant Lawyers(s): Barry Lax
Respondent(s): Albert Wardi, Anthony Mediate, Carlton Capital Inc., Clayton, Dunning & Company.
Respondent Lawyers(s): David A Schrader, Eric J. Dec
Arbitrator(s): Christina Kallas, Judith P. Brooks, Martin J. Oppenheimer
Hearing Site: New York, NY
| | Stipulated Award |
| 09-03845 | 11/30/2010 | Claimant(s): John Allen
Claimant Lawyers(s): Steven M. McCauley
Respondent(s): Gregory Martino, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Gregory Marcel Martino
Arbitrator(s): Madeleine B. Feldman, Todd Parker Lowe, R. Van Young
Hearing Site: Louisville, KY
| | $141,853 |
| 09-07212 | 11/30/2010 | Claimant(s): Lois Santarsiero
Claimant Lawyers(s): Lois M. Santarsiero
Respondent(s): TD Ameritrade., Joshua Kenney, Michael Iannucci, Ryan Lewis
Respondent Lawyers(s): Barry S. Gold
Arbitrator(s): Irene C. Warshauer
Hearing Site: New York, NY
| | $0 |
| 09-01374 | 11/29/2010 | Claimant(s): Zachary Sech
Claimant Lawyers(s): George M. Reul
Respondent(s): David Singer, Joseph Evelo, UBS Financial Services Inc., Linnell Sullivan, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Christin M. Choi, James L. Komie, Russell S. Sayre
Arbitrator(s): Emily J. Lewis, Regina F. Burch, A. Brian McIntosh
Hearing Site: Cincinnati, OH
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