| 09-03220 | 12/09/2009 | Claimant(s): Jackal Properties LTD, Laurie & Co., Yorsipp Trustees Limited Trust FBO Alan
Claimant Lawyers(s): Kirk G. Smith
Respondent(s):
Respondent Lawyers(s):
Arbitrator(s): Camille S. Cooper, Clarence Smith, Dominick T. Scianandre
Hearing Site: New York, NY
|  | $0 |
| 09-03230 | 12/09/2009 | Claimant(s): Craig Taylor
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Charles A. Joplin
Hearing Site: Dallas, TX
| | $0 |
| 07-03161 | 12/08/2009 | Claimant(s): Mark Bowman
Claimant Lawyers(s): Mark J. Appleton
Respondent(s): Wells Fargo Investments, U.S. Bancorp Investments.
Respondent Lawyers(s): John S. Lutz, Lee Merreot
Arbitrator(s): Steven Meyrich, Patti Fellows Peters, David L. Erickson
Hearing Site: Denver, CO
| | |
| 08-03355 | 12/08/2009 | Claimant(s): Move.
Claimant Lawyers(s): Melissa B.. Felder
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): H. Nicholas Berberian
Arbitrator(s): James H. Frank, Arthur T. Berggren, Daniel R. Brush
Hearing Site: Los Angeles, CA
| | $0 |
| 09-03337 | 12/08/2009 | Claimant(s): Mary Herzig
Claimant Lawyers(s): Mary Herzig
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Howard Breindel
Hearing Site: New York, NY
| | $690 |
| 09-04002 | 12/08/2009 | Claimant(s): Sylvia E. Mejia, IRAs
Claimant Lawyers(s): Sylvia Mejia
Respondent(s): Scottrade Inc.
Respondent Lawyers(s): Phylis A. Hartrich
Arbitrator(s): Donald M. Homer
Hearing Site: Boca Raton, FL
| | $0 |
| 09-03228 | 12/07/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana Sur
Respondent(s): Gerald Chassang
Respondent Lawyers(s): Gerald D. Chassang
Arbitrator(s): Duncan H. Cameron
Hearing Site: Tampa, FL
| | |
| 09-04097 | 12/07/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Renan I. Sugarman
Respondent(s): Michael Wiginton
Respondent Lawyers(s): Michael W. Wiginton
Arbitrator(s): Thomas C. Moxley
Hearing Site: Birmingham, AL
| | |
| 09-00819 | 12/07/2009 | Claimant(s): Kathleen Castle, Trustee
Claimant Lawyers(s): Debra Brewer Hayes
Respondent(s): Wells Fargo Investments
Respondent Lawyers(s): Vanessa Hoffmann
Arbitrator(s): John J. George, James W. Warren, William Patterson Cashill
Hearing Site: Reno, NV
| | $57,981 |
| 09-01554 | 12/07/2009 | Claimant(s): Philip and Sara Linwick Comm. Property
Claimant Lawyers(s): Andrew J. Kinstler
Respondent(s): RBC Capital Markets LLC
Respondent Lawyers(s): David L. Young
Arbitrator(s): William W. Anderson, Melvyn Jay Simburg, Roy J. Moceri
Hearing Site: Seattle, WA
| | $40,225 |
