| 09-00936 | 01/27/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Daniel Aho
Respondent Lawyers(s): Daniel William Aho
Arbitrator(s): June J. Vinci
Hearing Site: Los Angeles, CA
| | |
| 09-02171 | 01/26/2010 | Claimant(s): Diana Hojecki, James Hojecki, James V. Hojecki and Diana R. Hojecki
Claimant Lawyers(s): Mark A. Tepper
Respondent(s): Kenneth Popek, Calton & Associates.
Respondent Lawyers(s): Robert Persante
Arbitrator(s): Syma S. Kasdin, Nikola Bjelajac, Kimberlee Ann Fowler
Hearing Site: Ft. Lauderdale, FL
|  | $607,780 |
| 08-04195 | 01/25/2010 | Claimant(s): SMH Capital.
Claimant Lawyers(s): Andrew R. Harvin
Respondent(s): Alan Pacella
Respondent Lawyers(s): Jeffrey L. Cox
Arbitrator(s): Robert K. Ruskin, Richard Andrew Cahlin, Lisa Marie Macci
Hearing Site: Boca Raton, FL
| | |
| 09-02618 | 01/25/2010 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): Shea O'Brien Hicks
Respondent(s): Frederick Routon
Respondent Lawyers(s): Frederick H. Routon
Arbitrator(s): James M. Alexander
Hearing Site: Houston, TX
| | |
| 09-03100 | 01/25/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Will Rogers
Respondent Lawyers(s): Will T. Rogers
Arbitrator(s): Timothy L. Andrews
Hearing Site: Houston, TX
| | |
| 08-01386 | 01/25/2010 | Claimant(s): Dale Beaman, Gina Beaman, D and G Momentum
Claimant Lawyers(s): Curt R. Craton
Respondent(s): Ameriprise Financial Services., Walter Coulter
Respondent Lawyers(s): Chad Weaver, Walter Lee Coulter
Arbitrator(s): Martin Mandel, Robert W. Vernon
Hearing Site: Los Angeles, CA
| | $135,037 |
| 09-04074 | 01/25/2010 | Claimant(s): Robert G. Kurzman and Carol E. Kurzman
Claimant Lawyers(s): Robert G. Kurzman
Respondent(s): Deutsche Bank Securities., Erik Fiebert
Respondent Lawyers(s): Joshua Klein
Arbitrator(s): Elizabeth Gilbert
Hearing Site: New York, NY
| | $25,213 |
| 09-03712 | 01/25/2010 | Claimant(s): Phyllis M. Osler IRA Account, Genevieve Davidson Living Trust, John S. Osler Living Trust, Phyllis M. Osler Living Trust
Claimant Lawyers(s): John Osler
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Angela A. Turiano
Arbitrator(s): Barry Goldman
Hearing Site: Detroit, MI
| | $0 |
| 08-01287 | 01/22/2010 | Claimant(s): A. Kovacs
Claimant Lawyers(s): Brian E. Bro
Respondent(s): LPL Financial LLC
Respondent Lawyers(s): N. Nancy Ghabai
Arbitrator(s): Mark C. Watler, James A. Parker, Matthew Crump
Hearing Site: Houston, TX
| | |
| 08-03523 | 01/22/2010 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jordan D. Becker
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc., Michael Chrys
Respondent Lawyers(s): Jeffrey J. Calabrese, Louis M. Lagalante
Arbitrator(s): Jay F. Donnaruma, Stuart M. Schwartz, Ruth A. Ihne
Hearing Site: Albany, NY
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