| 09-06482 | 06/17/2010 | Claimant(s): William Tudor, William A. Tudor and Kathleen Tudor
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): Laurie E. Law
Hearing Site: Seattle, WA
|  | $15,368 |
| 09-00351 | 06/17/2010 | Claimant(s): Cheryl Katz
Claimant Lawyers(s): Mark T. Starkman
Respondent(s): Oppenheimer & Co.., Stanley Wong, Commerce Capital Markets
Respondent Lawyers(s): Diana Sur, James A. McGovern, Michael S. Zullo
Arbitrator(s): James Pasquale Nunciato, Kathleen Hoey Gorr, Ruth A. Ihne
Hearing Site: Albany, NY
| | $0 |
| 09-05911 | 06/17/2010 | Claimant(s): Robert D. Willcutt, Robert D. Willcutt and Nancy J. Willcutt
Claimant Lawyers(s): Nancy J. Willcutt
Respondent(s): James Healey, UBS Financial Services Inc., Richard Crews
Respondent Lawyers(s): Hasan Ibrahim
Arbitrator(s): Nickolas F. Monteforte
Hearing Site: Boston, MA
| | $213 |
| 09-06718 | 06/16/2010 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Robert Lenihan
Respondent Lawyers(s): Robert Joseph Lenihan
Arbitrator(s): Sanford S. Stevens
Hearing Site: New York, NY
| | |
| 09-01482 | 06/16/2010 | Claimant(s): Stew Bird, Susan Bird
Claimant Lawyers(s): Stewart Bird
Respondent(s): Kevin O'Leary, Alliance Berstein, L.P., Bernstein Global Wealth Management, Sanford C. Bernstein & Co.
Respondent Lawyers(s): Sean M. Murphy
Arbitrator(s): Hugh N. Fryer, Sandra J. Mullings, Anthony J. Raimondi
Hearing Site: New York, NY
| | $0 |
| 09-00770 | 06/15/2010 | Claimant(s): Alvin Shrago
Claimant Lawyers(s): James A. Batson
Respondent(s): Deutsche Bank Securities.
Respondent Lawyers(s): Jill L. Rosenberg
Arbitrator(s): Peter A. Goldman, William C. Soo-Hoo, Anita Sippy
Hearing Site: New York, NY
| | |
| 09-01573 | 06/15/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Colleen M. Fitzgerald
Respondent(s): Paul Kotos
Respondent Lawyers(s): Curtis Carlson
Arbitrator(s): Linda Fairchild, Paul Lilling, Dennis R. Nolte
Hearing Site: Orlando, FL
| | |
| 09-03231 | 06/15/2010 | Claimant(s): Clayton Scholand, George Rankin, George Verdone, Samuel Rankin, William Wynn
Claimant Lawyers(s): Sara W Higgins
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Christopher M. Galusha
Arbitrator(s): Harold Engelman, James Edward Banks, Wendy J. Reyner
Hearing Site: Charlotte, NC
| | |
| 09-06602 | 06/15/2010 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): Frank Polsinello
Respondent Lawyers(s): Frank Joseph Polsinello
Arbitrator(s): Jack Friedman
Hearing Site: Albany, NY
| | |
| 09-02380 | 06/15/2010 | Claimant(s): Joel Rappoport
Claimant Lawyers(s): Charles Stambaugh
Respondent(s): Banc of America Investment Services Inc., Tim Monahan
Respondent Lawyers(s): Lindsy Nicole Alleman
Arbitrator(s): Thomas Joseph Atkinson
Hearing Site: Orlando, FL
| | Expungement |
