| 09-02221 | 04/14/2010 | Claimant(s): Andrew Honzel, Beverly Honzel
Claimant Lawyers(s): Lawrence D. Lewis
Respondent(s): Benjamin Daniels, Raymond James Financial Services.
Respondent Lawyers(s): Charles L. Gallagher, Robert Rudnicki
Arbitrator(s): Edward I. Miller, Richard M. Norman, Katharine Reed Coleman
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-04871 | 04/14/2010 | Claimant(s): Deming Fu, Rongli Gui
Claimant Lawyers(s): Rongli Gui
Respondent(s): Wells Fargo Advisors, James Hietpas
Respondent Lawyers(s): Demian J. Betz
Arbitrator(s): Sheldon I. Saitlin
Hearing Site: Milwaukee, WI
| | $0 |
| 07-01706 | 04/13/2010 | Claimant(s): Augusto Andrade, Maria Andrade
Claimant Lawyers(s): Megan M. McMillin
Respondent(s): Wachovia Securities, Michael Ewanouski
Respondent Lawyers(s): Demian Betz
Arbitrator(s): Peter L. Curry, John H. Henn, Nancy E. Watters
Hearing Site: Boston, MA
| | $18,384 |
| 08-00049 | 04/13/2010 | Claimant(s): Marie Atake, Pat Atake
Claimant Lawyers(s): Montgomery G. Griffin
Respondent(s): Legend Merchant Group., Strasbourger Pearson Tulcin Wolff.
Respondent Lawyers(s): Joseph Pastore, Ron Moschetta
Arbitrator(s): Gerald F. Corrigan, Rosa Linda Guadarrama, Stephen Malcolm Squire
Hearing Site: Los Angeles, CA
| | $112,859 |
| 09-04003 | 04/13/2010 | Claimant(s): Colleen M. Tirio, IRA, Ronald C. Tirio
Claimant Lawyers(s): Howard M. Rosenfield
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Theodore Snyder
Arbitrator(s): Bennett A. Hall, R. Keith Butterfield, Charles Franklin Willson
Hearing Site: Hartford, CT
| | $0 |
| 09-05065 | 04/13/2010 | Claimant(s): Joseph Kelly, May Kelly
Claimant Lawyers(s): Joseph Kelly
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric Glassman
Arbitrator(s): Sam Antar
Hearing Site: New York, NY
| | $213 |
| 09-06195 | 04/12/2010 | Claimant(s): Jerry H. Green Residuary Trust
Claimant Lawyers(s): Scott J. Link
Respondent(s): Bradford Madison
Respondent Lawyers(s): Debra A. Jenks
Arbitrator(s): Michael Lau, Bonnie A. Pearce, Bart Samuel Cohodas
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-05197 | 04/12/2010 | Claimant(s): Warren A. Powers Trust
Claimant Lawyers(s): Terry J. Powers
Respondent(s): Kevin WichmanL Financial Corporation
Respondent Lawyers(s): Ralph DiChiara
Arbitrator(s): Thomas R. Skulina
Hearing Site: Columbus, OH
| | $0 |
| 09-00593 | 04/09/2010 | Claimant(s): Lois Lovins
Claimant Lawyers(s): Erwin J. Shustak
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Lisa M. Bertain
Arbitrator(s): Elizabeth A. Copley, Glen W. Hanne, Alfred S. Samulon
Hearing Site: Los Angeles, CA
| | |
| 09-03003 | 04/09/2010 | Claimant(s): Edward Jones
Claimant Lawyers(s): Christopher A. Pickett
Respondent(s): Jason Williams, Wells Fargo Advisors
Respondent Lawyers(s): Henry I. Willett
Arbitrator(s): Anthony J. Frank, Stuart H. Dunn, Donita M. King
Hearing Site: Richmond, VA
| | |
