| 08-04919 | 03/26/2010 | Claimant(s): Mark Martin, Nancy Martin
Claimant Lawyers(s): Kenton E. Knickmeyer
Respondent(s): Charles Schwab & Co.., Cortland Associates Inc
Respondent Lawyers(s): Phillip J. Mackey, R. Prescott Sifton
Arbitrator(s): Thomas J. Ray, R. Phillip Reed, Julie L. DeWitt
Hearing Site: St. Louis, MO
|  | $0 |
| 08-04931 | 03/26/2010 | Claimant(s): Don S. Davis and Lynne R. Davis
Claimant Lawyers(s): Charles W. Wright
Respondent(s): MF Global.
Respondent Lawyers(s): Michael K. Wolensky
Arbitrator(s):
Hearing Site: Jackson, MS
| | $0 |
| 07-02318 | 03/25/2010 | Claimant(s): William Erickson
Claimant Lawyers(s): Daniel O. Stamm
Respondent(s): Joe Woods
Respondent Lawyers(s): Jeffrey S. Kob
Arbitrator(s): J. A. Dutcher, Richard G. Link, Steven A. Fox
Hearing Site: San Diego, CA
| | |
| 09-02152 | 03/25/2010 | Claimant(s): Gordon Stamper
Claimant Lawyers(s): Gordon D. Stamper
Respondent(s): MML Investors Services.
Respondent Lawyers(s): Audrey Y. Dupont
Arbitrator(s): James Francis Donovan, Robert N. Kohn, Stephen Edward Cundiff
Hearing Site: Birmingham, AL
| | |
| 07-03136 | 03/25/2010 | Claimant(s): Kerry Budry
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Gunnallen Financial., Questar Capital Corporation
Respondent Lawyers(s): Julie H. Firestone, William J. Schifino
Arbitrator(s): Patrick R. Sughroue, John G. Martin, Mayra Adela Rodriguez
Hearing Site: Detroit, MI
| | $399,139 |
| 08-04273 | 03/25/2010 | Claimant(s): Helen Schabot
Claimant Lawyers(s): Richard L. Burstein
Respondent(s): Anne Whelan, Wachovia Securities
Respondent Lawyers(s): Keith Olin
Arbitrator(s): Jay F. Donnaruma, William G. Binckes, Kenneth Dymond
Hearing Site: Albany, NY
| | Stipulated Award and Expungement |
| 09-01926 | 03/25/2010 | Claimant(s): Carol Wolfer
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Janney Montgomery Scott LLC
Respondent Lawyers(s): Paula Shaffner
Arbitrator(s): Charles R. Tindell, Thomas Joseph Atkinson, Richard Frederick Schaufert
Hearing Site: Orlando, FL
| | $100,000 |
| 08-03838 | 03/25/2010 | Claimant(s): Joann Laskin
Claimant Lawyers(s): David N. Lake
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Nikole J. Crosby
Arbitrator(s): Susan B. Gans-Smith, Ronald F. Rybandt, Robert C. Albini
Hearing Site: Los Angeles, CA
| | $0 |
| 08-04540 | 03/25/2010 | Claimant(s): Manny Neves
Claimant Lawyers(s): Courtland T. Shafer
Respondent(s): WAMU Investments.
Respondent Lawyers(s): Christopher B. Wells
Arbitrator(s): G. E. Craig Doupe, Paul R. Meyer, Frederick B. Mueller
Hearing Site: Seattle, WA
| | $0 |
| 09-02083 | 03/25/2010 | Claimant(s): Cordelia Dellapina, Walter Dellapina, Walter and Cordelia Dellapina, JTWROS
Claimant Lawyers(s): Alan Foxman
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Robert A. Sauerberg, Ellen J. Abrams, William G. Geisert
Hearing Site: Boca Raton, FL
| | $0 |
