| 09-03445 | 12/03/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Diana H. Sur
Respondent(s): Duffy Worth
Respondent Lawyers(s): Duffy John Worth
Arbitrator(s): Richard Slavin
Hearing Site: Hartford, CT
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| 09-03739 | 12/03/2009 | Claimant(s): John Koehler
Claimant Lawyers(s): John Thomas Koehler
Respondent(s): Pruco Securities.
Respondent Lawyers(s): Sari M. Alamuddin
Arbitrator(s): James P. McCrocklin
Hearing Site: Indianapolis, IN
| | |
| 09-03762 | 12/03/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Justin A. Colberg
Respondent(s): Daniel Stephens
Respondent Lawyers(s): Daniel Lynn Stephens
Arbitrator(s): Thomas B. Phillips
Hearing Site: Kansas City, MO
| | |
| 09-03778 | 12/03/2009 | Claimant(s): W&S Brokerage Services.
Claimant Lawyers(s): David E. Theurich
Respondent(s): Kevin Mannor
Respondent Lawyers(s): Robert D. Mannor
Arbitrator(s): Marvin I. Horowitz
Hearing Site: Detroit, MI
| | |
| 09-01152 | 12/03/2009 | Claimant(s): Sensual Fashions
Claimant Lawyers(s): Michael Perugini
Respondent(s): Wedbush Securities Inc.
Respondent Lawyers(s): Charles B. Lachaussee
Arbitrator(s): Bennett A. Hall
Hearing Site: Hartford, CT
|  | $9,834 |
| 09-02752 | 12/03/2009 | Claimant(s): David T. Guyton, Jr., IRA, David Guyton, Jr. , TTEE Guyton Family T
Claimant Lawyers(s): William B. Young
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Evelyn C. Best
Arbitrator(s): Samuel E. Wing
Hearing Site: Denver, CO
| | $15,787 |
| 08-04636 | 12/03/2009 | Claimant(s): STG Realty Corp.
Claimant Lawyers(s): David A. Weintraub
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance Bostic
Arbitrator(s): Guy K. Stewart, Monroe Mitchel, Susan M. Dunning
Hearing Site: Boca Raton, FL
| | $0 |
| 09-02764 | 12/03/2009 | Claimant(s): Martha Bourie
Claimant Lawyers(s): Martha Tice Bourie
Respondent(s): Lisa Kern, Davenport & Company LLC
Respondent Lawyers(s): Brian A. McCormack
Arbitrator(s): Christopher M. McMurray
Hearing Site: Richmond, VA
| | $425 |
| 09-03347 | 12/03/2009 | Claimant(s): Margaret G. Cargill Revocable Trust
Claimant Lawyers(s): Andre R. Perron
Respondent(s): David Cohen, Michael Cohen, Cohen Investment Management., Harbor Financial Services
Respondent Lawyers(s): Gary Irwin
Arbitrator(s): Paul Sidney Elliott, JD
Hearing Site: Tampa, FL
| | $0 |
| 08-04142 | 12/02/2009 | Claimant(s): Guya Rai
Claimant Lawyers(s): Noah A. Kinigstein
Respondent(s): Barclays Capital Inc.
Respondent Lawyers(s): Eliza A. Kaiser
Arbitrator(s): John N. Polakas, Aaron Tyk, William H. Morley
Hearing Site: New York, NY
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