| 09-06159 | 09/30/2010 | Claimant(s): Eric Friedlander
Claimant Lawyers(s): David E. Robbins
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Julita Kargol
Arbitrator(s): Richard W. Cutler, Jettie K. Thomas, Milton M. Stein
Hearing Site: New York, NY
|  | $0 |
| 09-05108 | 09/29/2010 | Claimant(s): Wells Fargo Advisors, fka Wachovia
Claimant Lawyers(s): Craig D. Stein
Respondent(s): Ivan Pulido
Respondent Lawyers(s): David R. Chase
Arbitrator(s): Lewis J. Levey, Barth Satuloff, Neil J. Berman
Hearing Site: Miami, FL
| | |
| 09-05605 | 09/29/2010 | Claimant(s): John Cassandra
Claimant Lawyers(s): Cory S. Zadanosky
Respondent(s): Christopher Hickman
Respondent Lawyers(s): Mark J. Hanna
Arbitrator(s): Lawrence M. Green
Hearing Site: Boca Raton, FL
| | |
| 09-05381 | 09/29/2010 | Claimant(s): Iris Berger, Iris Victor Trust DTD 8/16/91
Claimant Lawyers(s): Richard A. Nervig
Respondent(s): Donahue Jones, Ralph Schneider, Okoboji Financial Services.
Respondent Lawyers(s): Donahue Edwin Jones, Ralph Roberts Schneider, Ralph Stacey Schneider
Arbitrator(s): Jerome M. Libenson, Kenneth Andrew Klinko, Richard E. Mueller
Hearing Site: San Diego, CA
| | $359,590 |
| 10-00131 | 09/29/2010 | Claimant(s): Kenda Pardy
Claimant Lawyers(s): Kenda K. Pardy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Daniel R. Formeller
Hearing Site: Chicago, IL
| | $7,672 |
| 10-01207 | 09/29/2010 | Claimant(s): Jacob Zynger
Claimant Lawyers(s): Jacob Zynger
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
| | $4,296 |
| 08-04042 | 09/29/2010 | Claimant(s): Earl Bentz and Janet Bentz
Claimant Lawyers(s): Michael C. Skouteris
Respondent(s): Morgan Keegan & Company., William Wolbrecht
Respondent Lawyers(s): Christopher G. Lazarini
Arbitrator(s): Paul A. Yates, Henry G. Plaster, Daniel Herbert Margolis
Hearing Site: Nashville, TN
| | $0 |
| 09-05191 | 09/29/2010 | Claimant(s): Mark Dowie & Wendy Ann Schwartz, Michael Berger & Deborah J. Slater Trust, Richard Kirschman Trust
Claimant Lawyers(s): Thomas D. Mauriello
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michele R. Fron
Arbitrator(s): Jonathan H. Krotinger
Hearing Site: San Francisco, CA
| | $0 |
| 09-01179 | 09/28/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Tricia Landry
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Roger L. Crossland, Steven R. Rolnick, Jack B. Golden
Hearing Site: Hartford, CT
| | |
| 10-01058 | 09/28/2010 | Claimant(s): Morgan Stanley
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Megan Gutierrez
Respondent Lawyers(s): Megan Jean Gutierrez
Arbitrator(s): Jeff Abrams
Hearing Site: Albuquerque, NM
| | |
