| 09-00757 | 12/22/2009 | Claimant(s): Linda Whitney
Claimant Lawyers(s): Linda Whitney
Respondent(s): Alan Krockover, Edward Jones
Respondent Lawyers(s): Dennis J. Capriglione
Arbitrator(s): Arno C. Schwethelm
Hearing Site: Houston, TX
|  | $0 |
| 09-02330 | 12/22/2009 | Claimant(s): Jeffrey Falcone
Claimant Lawyers(s): Jeffrey Marc Falcone
Respondent(s): Credit Suisse Securities (USA) LLC
Respondent Lawyers(s): Edwin A. Zipf
Arbitrator(s): Mary M. O'Neil
Hearing Site: Los Angeles, CA
| | $0 |
| 09-02907 | 12/22/2009 | Claimant(s): Derrell Billington
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Darryl C. Wilson
Hearing Site: Tampa, FL
| | $213 |
| 09-03901 | 12/22/2009 | Claimant(s): Michael Nagy
Claimant Lawyers(s): Michael Nagy
Respondent(s): Wachovia Securities.
Respondent Lawyers(s): Judy Louie
Arbitrator(s): David Edward Upton
Hearing Site: Richmond, VA
| | $38 |
| 08-00527 | 12/21/2009 | Claimant(s): David Lehrer, Dennis Contrestano, Jack Swenson, Michael Luby, Michael Patterson, Michael Swenson, Patrick Howell, Stephen Hird
Claimant Lawyers(s): Amanda M. Knudsen
Respondent(s): Piper Jaffray & Co., Piper Jaffray Companies
Respondent Lawyers(s): Julie A. Kole
Arbitrator(s): Thomas C. McNally, Sterling N. Frost, Jerold R. Babin
Hearing Site: San Francisco, CA
| | |
| 08-03977 | 12/21/2009 | Claimant(s): Signal Securities Inc.
Claimant Lawyers(s): Gilbert W. Boyce
Respondent(s): David Beck
Respondent Lawyers(s): David L. Beck
Arbitrator(s): Arthur H. Geffen, Priscilla Kim Park, Preston Deaton Rigsby
Hearing Site: Dallas, TX
| | |
| 08-04720 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Steven M. Phillips
Respondent(s): Barney Cohen, Bradley Fisher, Richard Meyers, Scott Merriman, Scott Smallman, Steven Charlston, Warren Mach
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Seattle, WA
| | |
| 08-04722 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): David Lehrer, Michael Patterson, Stephen Hird
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Milwaukee, WI
| | |
| 08-04723 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): Michael Luby
Respondent Lawyers(s): Stephen S. Mayne
Arbitrator(s):
Hearing Site: Kansas City, MO
| | |
| 08-04724 | 12/21/2009 | Claimant(s): Piper Jaffray & Co., Piper Jaffray Companies
Claimant Lawyers(s): Julie A. Kole
Respondent(s): Jack Swenson, John Thorn, Michael Swenson
Respondent Lawyers(s): Amanda M. Knudsen
Arbitrator(s):
Hearing Site: Minneapolis, MN
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