09-01781 | 12/31/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Jeffrey S. Hood Respondent(s): Charles Ray Respondent Lawyers(s): Charles Ray Arbitrator(s): Kenneth I. Rosenblum Hearing Site: Los Angeles, CA
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08-01792 | 12/31/2009 | Claimant(s): Barbara Tichner Claimant Lawyers(s): Ruthann G. Niosi Respondent(s): Barnett Chepenik, Jason Chepenik, Chepenik Financial, Lincoln Financial Advisors Corp., NRP Financial. Respondent Lawyers(s): Luigi Spadafora, Peter J. Biging, Sam Edgerton Arbitrator(s): Jack Friedman, William E.S. Browning, Ira M. Ross Hearing Site: New York, NY
| | Settlement |
08-02854 | 12/31/2009 | Claimant(s): Ava Raphael, Bradley Raphael, Brian Raphael, Brooke Raphael, Irving Raphael Claimant Lawyers(s): James L. Sonneborn Respondent(s): Bruce Sears, Heather Hunt-Ruddy, Joseph O'Connor, RBC Dain Rauscher Respondent Lawyers(s): Joseph Keenan Arbitrator(s): Vincent Micciche, Kathleen Hoey Gorr, Edmund Viele Hearing Site: Rochester, NY
| | $50,000 |
08-04924 | 12/31/2009 | Claimant(s): Duckkyu Chang, Kee Chang, Duckkyu Chang TTEE Cumberland Pathology Claimant Lawyers(s): Jenice L. Malecki Respondent(s): David Smith, Thomas Livingston, Timothy McGinn, William Lex, McGinn, Smith & Co.. Respondent Lawyers(s): David C. Franceski Arbitrator(s): Edward Greer, Thomas Benjamin Salzer, Kenneth Joseph Beahan Hearing Site: Philadelphia, PA
| | $805,110 |
09-01792 | 12/31/2009 | Claimant(s): Anne Moman, Guy Moman Claimant Lawyers(s): Charles A McCallum Respondent(s): Morgan Keegan & Company., William Hutchison Respondent Lawyers(s): Stephen A. Rowe Arbitrator(s): Ruth C. Adrian, Edward Blumstein, Barry Rabinowitz Hearing Site: Birmingham, AL
| | $44,955 |
09-02807 | 12/31/2009 | Claimant(s): James Crowley, Nancy Crowley Claimant Lawyers(s): Nancy Corinne Crowley, Patrick Crowley Respondent(s): Chase Investment Services Corp., Jamie Hills Respondent Lawyers(s): Sheila E. Carson Arbitrator(s): William P. Thorpe Hearing Site: Detroit, MI
| | $21,990 |
06-05002 | 12/30/2009 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): David H. Smith Respondent(s): Jeffrey Myers Respondent Lawyers(s): Jeffrey Myers Arbitrator(s): M. Eileen Dorsey, Sandra D. Deters, Matthew R. Salamon Hearing Site: St. Louis, MO
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08-00452 | 12/30/2009 | Claimant(s): Paige Sherman Claimant Lawyers(s): Michael Blumenfeld Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Melanie L. Ronen Arbitrator(s): Richard L. Rubin, Laura Effel, Robert M. Lubin Hearing Site: San Francisco, CA
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08-04352 | 12/30/2009 | Claimant(s): Sidney Lieberman IRA Claimant Lawyers(s): Sara F. Lieberman Respondent(s): Lyle Flaugher, Merrill Lynch Pierce Fenner & Smith Inc. Respondent Lawyers(s): Katherine M. McGrail Arbitrator(s): Robert I. Adler, Bernard A. Friedman, Irene C. Warshauer Hearing Site: New York, NY
| | $0 |
09-00742 | 12/30/2009 | Claimant(s): Barbara Russo, Daniel Russo Claimant Lawyers(s): Kevin P. Conway Respondent(s): Wachovia Securities, Michael Greene Respondent Lawyers(s): Joseph A. Vallo Arbitrator(s): Larry Kars, Arthur Best, Sharon A. McCloskey Hearing Site: New York, NY
| | $0 |