| 09-00251 | 01/22/2010 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Chad Caros
Respondent Lawyers(s): Chad Caros
Arbitrator(s): Daniel C. Kriser, Daniel Baruch Lidawer, Joseph D. Savino
Hearing Site: Chicago, IL
| | |
| 08-03424 | 01/22/2010 | Claimant(s): Ronald Pelley
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): John B. Wells, Elizabeth A. Copley, Glen W. Hanne
Hearing Site: Los Angeles, CA
|  | $0 |
| 09-03565 | 01/21/2010 | Claimant(s): Main Street Securities
Claimant Lawyers(s): Rodney K. Vincent
Respondent(s): Jack Burkhart
Respondent Lawyers(s): Jack Allen Burkhart
Arbitrator(s): M. W. Gear
Hearing Site: Kansas City, MO
| | |
| 09-01931 | 01/21/2010 | Claimant(s): Ellen Baron
Claimant Lawyers(s): William S. Bonnheim
Respondent(s): Mark Holland, Banc of America Investment Services Inc.
Respondent Lawyers(s): John Bamford
Arbitrator(s): Lester G. Stiel
Hearing Site: San Diego, CA
| | $13,713 |
| 09-04172 | 01/21/2010 | Claimant(s): Mustafa Amanatullah
Claimant Lawyers(s): Mustafa I. Amanatullah
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine C. Luth
Arbitrator(s): Janice L. Sperow
Hearing Site: San Diego, CA
| | $31,575 |
| 06-04285 | 01/21/2010 | Claimant(s): Gary and Stephanie Barnett
Claimant Lawyers(s): David A. Szwak
Respondent(s): Gregory Garson, Capital Partners LLC, First Allied Securities.
Respondent Lawyers(s): Daniel S. Newman
Arbitrator(s): Philip I. McConnell, Robert G. Clark, Ted Martin Akin
Hearing Site: Dallas, TX
| | $0 |
| 09-02113 | 01/21/2010 | Claimant(s): Louise Wiener, Stanley Schneider
Claimant Lawyers(s): Kevin P. Conway
Respondent(s): Frank Rutan
Respondent Lawyers(s): Richard A. Levan
Arbitrator(s): Marilyn J. Salzman, Alice J. P. Lee-Getman, Brian F Loveman
Hearing Site: New York, NY
| | $0 |
| 09-03315 | 01/21/2010 | Claimant(s): Sandra Vincent
Claimant Lawyers(s): Jeffrey A. Sellers
Respondent(s): Richard Fishbach, Ferris, Baker Watts, RBC Capital Markets LLC
Respondent Lawyers(s): Daniel J. Donovan
Arbitrator(s): Ellen Holland Keller
Hearing Site: Cleveland, OH
| | $0 |
| 09-03765 | 01/21/2010 | Claimant(s): Randel Kendall, The Kendall Family Living Trust
Claimant Lawyers(s): Seth L. Hanson
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Branden O. Wilhelm
Arbitrator(s): F. Conger Fawcett
Hearing Site: San Francisco, CA
| | $0 |
| 09-04322 | 01/21/2010 | Claimant(s): Kevin D. Balsley
Claimant Lawyers(s): Kevin D. Balsley
Respondent(s): Garry Nichols
Respondent Lawyers(s): Courtney R. Reid
Arbitrator(s): Melinda G. Jayson
Hearing Site: Dallas, TX
| | $0 |
