| 08-04168 | 11/20/2009 | Claimant(s): Amar Paul Sawhney
Claimant Lawyers(s): Amar Paul Singh Sawhney
Respondent(s): Brian Furrow, Frank Sullivan, TD Ameritrade.
Respondent Lawyers(s): Janine M. Lucas
Arbitrator(s): Robert C. Upton, Allen J. Krouse, Brian P. Jakes
Hearing Site: New Orleans, LA
|  | $0 |
| 09-02658 | 11/20/2009 | Claimant(s): Ralph Ritter, Viola Ritter
Claimant Lawyers(s): Ralph H. Ritter
Respondent(s): Anita Oplotnik, Neil NcCall
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Donald B. Clark
Hearing Site: Kansas City, MO
| | $213 |
| 09-03005 | 11/19/2009 | Claimant(s): Michael Dortheimer
Claimant Lawyers(s): Michael Dortheimer
Respondent(s): James Conlin, Kabrik Trading LLC
Respondent Lawyers(s): Andrew J. Goodman
Arbitrator(s): Gary W. Sherbell
Hearing Site: New York, NY
| | |
| 09-03710 | 11/19/2009 | Claimant(s): Financial West Group
Claimant Lawyers(s): Robert Creaser
Respondent(s): Walter Ellis
Respondent Lawyers(s): Walter Allen Ellis
Arbitrator(s): George Frederick Garris
Hearing Site: Los Angeles, CA
| | |
| 08-04613 | 11/19/2009 | Claimant(s): Clifford N. Wade and Margarita D. Wade
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John W. Mitchell
Arbitrator(s): James R. Augustine, R. Phillip Reed, Stuart W. Smith
Hearing Site: Birmingham, AL
| | $370,000 |
| 08-03614 | 11/19/2009 | Claimant(s): James Jones
Claimant Lawyers(s): James M. Jones
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Maxel (Bud) B. Silverberg, Kurt L. Smith, Russell H Hairston
Hearing Site: Dallas, TX
| | $0 |
| 08-04024 | 11/19/2009 | Claimant(s): R.A. Hamerly A.I.A Architect.
Claimant Lawyers(s): Randall A. Hamerly
Respondent(s): Sherman Niamehr, New Castle Financial Services LLC
Respondent Lawyers(s): Brett D. Zinner, Sherman Jason Niamehr
Arbitrator(s): Robert F. Saint-Aubin
Hearing Site: Los Angeles, CA
| | $0 |
| 09-01155 | 11/19/2009 | Claimant(s): William E. Busse and Kelly A. Busse - JT
Claimant Lawyers(s): William E. Busse
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Eugene R. Nielson
Hearing Site: Phoenix, AZ
| | $0 |
| 09-02795 | 11/19/2009 | Claimant(s): Phyllis Mossman
Claimant Lawyers(s): Phyllis M. Mossman
Respondent(s): Wells Fargo Investments, Michael Hampton
Respondent Lawyers(s): Vanessa Hoffman
Arbitrator(s): Thomas D. Reese
Hearing Site: San Francisco, CA
| | $213 |
| 08-00064 | 11/18/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fisher
Respondent(s): Kendall Blunt
Respondent Lawyers(s): John T. Carr
Arbitrator(s): Marvin G. Breen, Joyce L. Tyler, Alan Reginald Doe
Hearing Site: Portland, OR
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