| 08-03552 | 12/23/2009 | Claimant(s): G. Menyharth
Claimant Lawyers(s): G. Paul Menyharth
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Kathleen S. Adams
Arbitrator(s): Paul D. Gutierrez
Hearing Site: San Francisco, CA
|  | $0 |
| 07-01400 | 12/22/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Joseph E. Gehring
Respondent(s): Wachovia Securities, Jason Siegel
Respondent Lawyers(s): David L. Ward
Arbitrator(s): William J. Crowe, Gerry E. Feinberg, Aubrey Lees
Hearing Site: New York, NY
| | |
| 09-01972 | 12/22/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Patrick J. Folan
Respondent(s): Eric Rice
Respondent Lawyers(s): Eric Allen Rice
Arbitrator(s): James B. Guillou
Hearing Site: San Diego, CA
| | |
| 09-02038 | 12/22/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Kevin Carroll
Respondent Lawyers(s): Brian D. Rich
Arbitrator(s): Jack B. Golden
Hearing Site: Hartford, CT
| | |
| 09-00605 | 12/22/2009 | Claimant(s): Christopher Moore
Claimant Lawyers(s): Scott T. Beall
Respondent(s): Saxony Securities.
Respondent Lawyers(s): Donald J. Mehan
Arbitrator(s): Linda Cox Allen, Patricia Best Vital, Wilburn E. Layman
Hearing Site: Memphis, TN
| | $61,848 |
| 09-03588 | 12/22/2009 | Claimant(s): Helene Intraub
Claimant Lawyers(s): Helene Intraub
Respondent(s): TIAA-Cref Individual & Institutional Svs
Respondent Lawyers(s): Carranza M. Pryor
Arbitrator(s): Rafael A. Porrata-Doria
Hearing Site: Philadelphia, PA
| | $11,723 |
| 09-03899 | 12/22/2009 | Claimant(s): Justin Sterling
Claimant Lawyers(s): Justin H. Sterling
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Diane R. Cohen
Hearing Site: New York, NY
| | $14,759 |
| 09-04137 | 12/22/2009 | Claimant(s): Spruce Cliff Investments Ltd.
Claimant Lawyers(s): Brian Gracey
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Catherine C. Luth
Arbitrator(s): Eric P. Nachman
Hearing Site: New York, NY
| | $25,425 |
| 09-00378 | 12/22/2009 | Claimant(s): Vasu Arora
Claimant Lawyers(s): Vasu D. Arora
Respondent(s): TD Ameritrade., Joseph Moglia
Respondent Lawyers(s): Brad S. Daniels, Lois O. Rosenbaum
Arbitrator(s): Gary A. Hooker, Thomas D. Reese, Jeffrey M. Allen
Hearing Site: San Francisco, CA
| | $0 |
| 09-00626 | 12/22/2009 | Claimant(s): Paul Christensen, Christensen Enterprises, Christensen Family I Ltd., The Elizabeth Christensen Trust, Paul, The Paul E. Christensen Family Trust,
Claimant Lawyers(s): Philip J. Snyderburn
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Julie Wilson Portera
Arbitrator(s): V. Michael Pabalis, Patricia Gunn, John Morris Hudson
Hearing Site: Orlando, FL
| | $0 |
