| 09-00081 | 03/04/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): William Van Cleve
Respondent Lawyers(s): Charles M. Hamilton
Arbitrator(s): William E. Barker, Henry Hermann, Simeon R. Trotter
Hearing Site: Dallas, TX
| | |
| 09-01632 | 03/04/2010 | Claimant(s): Cortney Hungerford Trust dtd 3/6/99, Morgan Hungerford Trust dtd 3/6/99
Claimant Lawyers(s): W. Scott Greco
Respondent(s): Johnston, Lemon & Co.orporated
Respondent Lawyers(s): Douglas K. Spalding
Arbitrator(s): Wesley C. Wilson, Thomas J. Burns, Christopher M. McMurray
Hearing Site: Richmond, VA
|  | $109,605 |
| 09-02125 | 03/04/2010 | Claimant(s): Jeffrey King
Claimant Lawyers(s): Eric S. Richards
Respondent(s): Fifth Third Securities.
Respondent Lawyers(s): Brian J. Masternak
Arbitrator(s): Kenneth J. Safran, Corby A. Kiss, William M. Azkoul
Hearing Site: Detroit, MI
| | $36,500 |
| 09-04830 | 03/03/2010 | Claimant(s): SagePoint Financial.
Claimant Lawyers(s): Craig A. Vollono
Respondent(s): Charles Davey
Respondent Lawyers(s): Charles Lorne Davey
Arbitrator(s): Albert T. T. Cook
Hearing Site: Denver, CO
| | |
| 06-01374 | 03/03/2010 | Claimant(s): Dennis Lynch
Claimant Lawyers(s): Samuel B. Edwards
Respondent(s): H. Fehn, John Meyers, K. Garrett, Katheleen McPherson, Russell Riccobono, Scott Brooks, Scott Magallanes, Stanley Brooks, Stephen Washburn, Steve Skytte, Brookstreet Securities Corporation, First Providence Financial Group, The Brooks Family Trust
Respondent Lawyers(s): H. Thomas Fehn, John M. Meyers, K. Michael Garrett, Katheleen M. McPherson, Russell Robert Riccobono, Scott Lee Magallanes, Stephen P. Washburn, Steve Skytte, Steven W. Schaefer
Arbitrator(s): John P. Scordo, Alan K. Bloom, Joseph Michael Dougherty
Hearing Site: Newark, NJ
| | $24,400 |
| 08-02905 | 03/03/2010 | Claimant(s): Bruce Rogovin
Claimant Lawyers(s): Steve Rogovin
Respondent(s): Charles Schwab & Co.., Robert Lewandowski, Charles Schwab Investment Management, In, Schwab Investments
Respondent Lawyers(s): Gordon C. Young
Arbitrator(s): W. Pat Conners, Philip C. Johnston, Barbara E. Dixon
Hearing Site: Cincinnati, OH
| | Stipulated Award and Expungement |
| 09-00652 | 03/03/2010 | Claimant(s): Angelain Loggins, Dwayne Loggins
Claimant Lawyers(s): Anthony V. Trogan
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Patrick Buschmohle
Respondent Lawyers(s): W. Scott Turnbull
Arbitrator(s): Anthony J. Bove, Jacqueline R. Fox, A. Robert Stevenson
Hearing Site: Detroit, MI
| | $61,891 |
| 09-04366 | 03/03/2010 | Claimant(s): Paul W. & Ginette Schwenn Family Trust
Claimant Lawyers(s): Paul William Schwenn
Respondent(s): Craig Luchinetti, Banc of America Investment Services Inc.
Respondent Lawyers(s): Genna Stephens
Arbitrator(s): Linda I. Thomas
Hearing Site: Seattle, WA
| | $213 |
| 09-04757 | 03/03/2010 | Claimant(s): CNS Corporation
Claimant Lawyers(s): James L. Buchal
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Harper Fertig- Robinson
Arbitrator(s): Larry T. Coady
Hearing Site: Portland, OR
| | $0 |
| 09-05363 | 03/03/2010 | Claimant(s): Valerie Doherty
Claimant Lawyers(s): Valerie Doherty
Respondent(s): Jeffrey Gromos, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Norman L. Weiss
Hearing Site: Clearwater, FL
| | $425 |
