| 08-04274 | 04/19/2010 | Claimant(s): Joshua Lowe
Claimant Lawyers(s): Ryon M. McCabe
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): D. Daxton White
Arbitrator(s): Horace A. Andrews, David F. Simon, Dennis R. Sullivan
Hearing Site: Tampa, FL
| | |
| 09-05528 | 04/19/2010 | Claimant(s): Gary Hicks
Claimant Lawyers(s): Gary D. Hicks
Respondent(s): Pruco Securities., The Prudential Insurance Company of Amer
Respondent Lawyers(s): Jeffrey J. Kmoch
Arbitrator(s): Donald W. McKenzie
Hearing Site: Indianapolis, IN
| | |
| 09-06192 | 04/19/2010 | Claimant(s): Sagepoint Financial.
Claimant Lawyers(s): Noah D. Sorkin
Respondent(s): Mario Camillo
Respondent Lawyers(s): Mario J. Camillo
Arbitrator(s): Frank C. Fogl
Hearing Site: Buffalo, NY
| | |
| 09-00909 | 04/19/2010 | Claimant(s): Jere Planck, Mary Planck, Jere W. and Mary C. Planck Family Trust
Claimant Lawyers(s): Maura K. McKelvey
Respondent(s): UBS Financial Services Inc., Scott Miller
Respondent Lawyers(s): Kelly J. Moynihan
Arbitrator(s): Gary L. Freeman, Jerome K. Altshuler, Richard D. Fincher
Hearing Site: Phoenix, AZ
|  | Expungement |
| 09-04164 | 04/19/2010 | Claimant(s): Laura Loudamy
Claimant Lawyers(s): Laura Loudamy
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Meredith A. Felde
Arbitrator(s): George A. Sellnau
Hearing Site: Houston, TX
| | $6,475 |
| 09-05059 | 04/19/2010 | Claimant(s): Doris Benson
Claimant Lawyers(s): Doris Benson
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Erin K. Fair
Arbitrator(s): Howard W. Shannon
Hearing Site: Phoenix, AZ
| | $2,389 |
| 09-05201 | 04/19/2010 | Claimant(s): Saul Crafton
Claimant Lawyers(s): Saul Crafton
Respondent(s): TD Ameritrade Clearing.
Respondent Lawyers(s): Catherine Luth
Arbitrator(s): Robert H. Putnam
Hearing Site: Jacksonville, FL
| | $257 |
| 09-06378 | 04/19/2010 | Claimant(s): Gina and Antonio Strazzullo
Claimant Lawyers(s): Gina Strazzullo
Respondent(s): Wells Fargo Advisors
Respondent Lawyers(s): Brent J. Burtin
Arbitrator(s): Robert J. Saex
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 09-00976 | 04/16/2010 | Claimant(s): The Sohaili Trust
Claimant Lawyers(s): Masood Sohaili
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Mai P. Klaassen
Arbitrator(s): Morris S. Getzels
Hearing Site: Los Angeles, CA
| | $1,050 |
| 07-02774 | 04/16/2010 | Claimant(s): Eugenia Jones
Claimant Lawyers(s): Eugenia Jones
Respondent(s): Dennis Cavender, William Hudson
Respondent Lawyers(s): Adam M. Kauff
Arbitrator(s): Richard V. McGalliard, Sabrina Raquel Scott, Joan Connolly Grafstein
Hearing Site: Atlanta, GA
| | $0 |
