| 09-02607 | 11/15/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Thomas Spartz
Respondent Lawyers(s): Thomas B. Spartz
Arbitrator(s): Linda Fairchild, Gary F. Lang, Elwood Henry Weilage
Hearing Site: Orlando, FL
| | |
| 09-03802 | 11/15/2010 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Rockwell Pearson
Respondent Lawyers(s): Rockwell Stuart Pearson
Arbitrator(s): Leon C. Tupy
Hearing Site: Denver, CO
| | |
| 10-00080 | 11/15/2010 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Michael T. Roche
Respondent(s): James Dowley
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Maureen Beyers
Hearing Site: Denver, CO
| | |
| 09-00499 | 11/15/2010 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Richard A. Karoly
Respondent(s): Kristin Koo
Respondent Lawyers(s): Kristin H. Koo
Arbitrator(s): Gerald Scher, C. Gregory Ellison, Barbara B. Franklin
Hearing Site: Washington, DC
|  | $0 |
| 09-00410 | 11/15/2010 | Claimant(s): H Gordon Georgia Lee Bailey Chart Remain, Henry Gordon Bailey Jr. Living TR U/A 9/
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): David Pintaric, William Pintaric, WRP Investments.
Respondent Lawyers(s): Steven G. Janik
Arbitrator(s): Emily J. Lewis, Stephen Anthony Rogers, Wiley H. Clodfelder
Hearing Site: Columbus, OH
| | $0 |
| 09-06311 | 11/15/2010 | Claimant(s): Homer Martin
Claimant Lawyers(s): Royal B. Lea
Respondent(s): Riverstone Wealth Mangement.
Respondent Lawyers(s): John Courtade
Arbitrator(s): Ross D. Friend, William A. Allen, David C. Redford
Hearing Site: Houston, TX
| | $512,101 |
| 09-03574 | 11/15/2010 | Claimant(s): Larry Garon, Lori Garon
Claimant Lawyers(s): Gavin J. Fleming
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Marvin I. Horowitz, Corby A. Kiss, James L. Karpen
Hearing Site: Detroit, MI
| | $0 |
| 09-04525 | 11/15/2010 | Claimant(s): Kilbane Plumbing & Heating.
Claimant Lawyers(s): Roger W. Van Deusen
Respondent(s): Ferris, Baker Watts
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): James A. Laurenson, Harvey Michael Rosenberg, John C. Aten
Hearing Site: Cleveland, OH
| | $0 |
| 09-06220 | 11/15/2010 | Claimant(s): Earl D. Bolen IRA, Bolen Family Trust
Claimant Lawyers(s): H. Thomas Fehn
Respondent(s): Christopher Price, Morgan Stanley
Respondent Lawyers(s): Gregg Garneau
Arbitrator(s): Elliott David Finkel, Joseph L. Hagan, David Nielsen
Hearing Site: Los Angeles, CA
| | $0 |
| 10-01357 | 11/15/2010 | Claimant(s): Joseph Griglak IRA
Claimant Lawyers(s): Joseph Griglak
Respondent(s): Joseph Riccelli
Respondent Lawyers(s): Brian A. Carlis
Arbitrator(s): Edward W. Morris
Hearing Site: Newark, NJ
| | $213 |
