| 09-03959 | 08/05/2010 | Claimant(s): Phillip Sielatycki
Claimant Lawyers(s): Laura J Wetsch
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Diane C. Fischer
Arbitrator(s): Timothy J. Wright, Charles S. Clayton, Michael J. Pasquale
Hearing Site: Raleigh, NC
| | |
| 09-05543 | 08/05/2010 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Edward G. Winsman
Respondent(s): Brent Haag
Respondent Lawyers(s): Brent Haag
Arbitrator(s): Raymond Wade Henney
Hearing Site: Detroit, MI
| | |
| 09-05916 | 08/05/2010 | Claimant(s): David Miller
Claimant Lawyers(s): William G. Leonard
Respondent(s): Ameriprise Financial Services.
Respondent Lawyers(s): Julie Fleming-Wolfe
Arbitrator(s): Robert H. Putnam, George S. Willingham, Wallace T. Tanksley
Hearing Site: Atlanta, GA
| | |
| 08-00612 | 08/05/2010 | Claimant(s): Donald Russsell, Donald W. Russell Living Trust
Claimant Lawyers(s): Joseph H. Spiegel
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Edward M. Olson, William C. Kubicz, Benjamin A. Kerner
Hearing Site: Detroit, MI
|  | $243,000 |
| 10-00219 | 08/05/2010 | Claimant(s): Charles Stoveken
Claimant Lawyers(s): Charles B. Stoveken
Respondent(s): William Medlin, Equity Concepts, L.L.C., Sanders Morris Harris Inc.
Respondent Lawyers(s): John T. Unger
Arbitrator(s): Robert Charkovsky
Hearing Site: Richmond, VA
| | $4,818 |
| 09-07116 | 08/05/2010 | Claimant(s): David J Foster Charles Schwab & Co Inc
Claimant Lawyers(s): David P. Meyer
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Kevin R. Zehe
Hearing Site: Columbus, OH
| | $0 |
| 09-07167 | 08/05/2010 | Claimant(s): Sadasiva Seshagiri Rao Rayavarapu
Claimant Lawyers(s): Scudder G Stevens
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie M. Mason
Arbitrator(s): Kathleen K. Murphy
Hearing Site: Wilmington, DE
| | $213 |
| 10-00404 | 08/05/2010 | Claimant(s): Aberth
Claimant Lawyers(s): Marvin S. Goldstein
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Brandon K. Hemley
Arbitrator(s): Joel Steven Arogeti
Hearing Site: Atlanta, GA
| | $0 |
| 10-00782 | 08/04/2010 | Claimant(s): E1 Asset Management.
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Ched Gelb
Respondent Lawyers(s): Ched J. Gelb
Arbitrator(s): Clarence Smith
Hearing Site: New York, NY
| | |
| 09-07117 | 08/04/2010 | Claimant(s): John Horne
Claimant Lawyers(s): Michael J. Rudicell
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Timothy B. Atkins
Arbitrator(s): Anne H. Orr
Hearing Site: Jacksonville, FL
| | $425 |
