| 08-00043 | 10/13/2010 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Kenneth O'Connor
Respondent(s): Frank Fava
Respondent Lawyers(s): Ronald J. Ricci
Arbitrator(s): Marvin Schleyer, Gerald Joseph Coughlin, Robert Alan Mayer
Hearing Site: Newark, NJ
| | |
| 08-02782 | 10/13/2010 | Claimant(s): Michelle Ford
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Mark Dubel, Affinity Federal Credit Union, Affinity Financial Services, Affinity Investment Services
Respondent Lawyers(s): Mark S. Mancher
Arbitrator(s): William E. Smith, Nathan J. Minucci, Sharon A. McCloskey
Hearing Site: Newark, NJ
| | |
| 09-02428 | 10/13/2010 | Claimant(s): Albert Montague, Willard Rumley
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Catherine S. Ryan
Arbitrator(s): Diane M. Perry, Laila Asmar Folk, Robert B. Kane
Hearing Site: Boca Raton, FL
| | |
| 09-03048 | 10/13/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Christopher Squires
Respondent Lawyers(s): Christopher Michael Squires
Arbitrator(s): Linda Fairchild, Paul Lilling, Chester Barry White
Hearing Site: Orlando, FL
| | |
| 09-06393 | 10/13/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Timothy N. Will
Respondent(s): Wade Cook
Respondent Lawyers(s): Wade Patrick Cook
Arbitrator(s): Thomas D. Reese
Hearing Site: Los Angeles, CA
| | |
| 09-02966 | 10/13/2010 | Claimant(s): Karen Smaza, Paul Smaza
Claimant Lawyers(s): Jan E. Slotnick
Respondent(s): Fifth Third Bank, Fifth Third Securities.
Respondent Lawyers(s): Elisabeth M. Von Eltzen
Arbitrator(s): Edward M. Olson, Martin I. Reisig, JoAnn Marino
Hearing Site: Detroit, MI
|  | $0 |
| 09-04523 | 10/13/2010 | Claimant(s): Marcia Rasmussen, Richard Rasmussen
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Daniel FeltzL Financial Corporation
Respondent Lawyers(s): Amanda C. Hawley
Arbitrator(s): George A. Abbott, Douglas A. Spier, John R. Loss
Hearing Site: Omaha, NE
| | $0 |
| 09-05799 | 10/13/2010 | Claimant(s): Ilyse Klavir
Claimant Lawyers(s): David Harrison
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): John E. Ohashi, Catherine M. O'Brien, Susan B. Gans-Smith
Hearing Site: Los Angeles, CA
| | $0 |
| 10-00076 | 10/12/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Jose Larrea
Respondent Lawyers(s): Jose A. Larrea
Arbitrator(s): John J. Hearn
Hearing Site: Miami, FL
| | |
| 09-00039 | 10/12/2010 | Claimant(s): Evan T. Williams Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Homer Vining, Morgan Keegan & Company.
Respondent Lawyers(s): Jeff Jamieson
Arbitrator(s): Thomas J. Ray, M. Eileen Dorsey, James M. Stern
Hearing Site: St. Louis, MO
| | $375 |
