| 10-02042 | 11/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): James Van Dyke
Respondent(s): Jonathan Dameron
Respondent Lawyers(s): Jonathan Beau Dameron
Arbitrator(s): Helmut O. Wolff
Hearing Site: Dallas, TX
| | |
| 10-02112 | 11/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): William Wilkins
Respondent Lawyers(s): William Lorne Wilkins
Arbitrator(s): Leon Fox
Hearing Site: Chicago, IL
| | |
| 10-03047 | 11/29/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Mary Jo Cantu
Respondent(s): Trey Trammell
Respondent Lawyers(s): Trey Calvin Trammell
Arbitrator(s): Patricia B. Lehtola
Hearing Site: Dallas, TX
| | |
| 09-03077 | 11/29/2010 | Claimant(s): Patricia Chapman, Patricia Tynan Chapman Trust UAD 9/26/90
Claimant Lawyers(s): Andrew V. Tramont
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher A. Stecher
Arbitrator(s): Peter H. Daly, Jonathan Holman Hathaway, Charles Eugene Markley
Hearing Site: San Francisco, CA
|  | $1,500,000 |
| 09-00609 | 11/29/2010 | Claimant(s): Moshe Shram
Claimant Lawyers(s): Jonathan Schwartz
Respondent(s): IDB Capital Corp.
Respondent Lawyers(s): Allan N. Taffet
Arbitrator(s): Barbara M. Zak, Joseph C. Watson, Robert Bruce MacDonald
Hearing Site: Los Angeles, CA
| | $0 |
| 09-04494 | 11/29/2010 | Claimant(s): Peter Derby
Claimant Lawyers(s): Thomas M. Mullaney
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Richard Grodin
Respondent Lawyers(s): Coren H. Stern
Arbitrator(s): Alan S. Braunshweiger, Lincoln W. Craighead, Annamaria Boccia Smith
Hearing Site: New York, NY
| | $0 |
| 10-02640 | 11/29/2010 | Claimant(s): Peter Stockmann
Claimant Lawyers(s): Peter H Stockmann
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): Elizabeth K. Norsworthy
Hearing Site: Syracuse, NY
| | $25 |
| 07-02357 | 11/24/2010 | Claimant(s): Brian McCafferty
Claimant Lawyers(s): Kevin E. Barber
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): David E. Strand
Arbitrator(s): Cynthia H. Plishtin, Edward L. Levine, Stephanie M. Miller
Hearing Site: Newark, NJ
| | |
| 09-01400 | 11/24/2010 | Claimant(s): Kenneth Epstein
Claimant Lawyers(s): Kenneth Robert Epstein
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Michael E. Olney, Barbara J. Glenns, Frank Irizarry
Hearing Site: New York, NY
| | |
| 09-00387 | 11/24/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Trevor Templar
Respondent Lawyers(s): Trevor Rodrigues Templar
Arbitrator(s): Dean J. Dietrich, Stanford G. Hirata, Edwin C. Shiver
Hearing Site: San Francisco, CA
| | $0 |
