| 08-03370 | 11/13/2009 | Claimant(s): Percy Dover and Karen Dover
Claimant Lawyers(s): William J. Gladden
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Colleen D. Hitch
Arbitrator(s): Richard L. Oates, Donald K. Eckhardt, Jerry L. Hooper
Hearing Site: Memphis, TN
|  | $0 |
| 08-03942 | 11/13/2009 | Claimant(s): Nicholas Loeb
Claimant Lawyers(s): Nick Loeb
Respondent(s): Lawrence Caplan
Respondent Lawyers(s): Lawrence Paul Caplan
Arbitrator(s): James B. May, Stuart Harvey Ziegler, Thomas R. Noonan
Hearing Site: Boca Raton, FL
| | $0 |
| 08-04519 | 11/13/2009 | Claimant(s): Nick C. Dailey and Rose Marie Dailey
Claimant Lawyers(s): Rene J. Kern
Respondent(s): David Miller, Mutual Securities.
Respondent Lawyers(s): David R. Miller, Jason T. Dennett
Arbitrator(s): Robert D. Sussin, Grace L. Heyne, Daniel David Kopman
Hearing Site: Los Angeles, CA
| | $0 |
| 08-00477 | 11/12/2009 | Claimant(s): Regal Securities.
Claimant Lawyers(s): Nicholas P. Iavarone
Respondent(s): Irving Martinez, Jaime Rodriguez
Respondent Lawyers(s): Irving A. Martinez, Jaime Rodriguez
Arbitrator(s): Edward Buscemi
Hearing Site: New York, NY
| | |
| 08-00818 | 11/12/2009 | Claimant(s): Susan Ure
Claimant Lawyers(s): Susan Ure
Respondent(s): ING Financial Advisers, ING Life Insurance and Annuity Company
Respondent Lawyers(s): Michael E. Wilbur
Arbitrator(s): Mitchell S. Ostwald, Charles E. Farnsworth, Sharon Truluck Maier
Hearing Site: San Francisco, CA
| | |
| 08-04147 | 11/12/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Erin E. Mac Avoy
Respondent(s): Michael Fels
Respondent Lawyers(s): Michael Fels
Arbitrator(s): John R Kiefner, Paul L. Matecki, Karen Fancher
Hearing Site: Clearwater, FL
| | |
| 09-00095 | 11/12/2009 | Claimant(s): RBC Wealth Management
Claimant Lawyers(s): Jospeh Keenan
Respondent(s): Newell Anderson
Respondent Lawyers(s): Newell Weldon Anderson
Arbitrator(s): Edward T. Borer, Alan M. Schankel, Peter D. Shelp
Hearing Site: Philadelphia, PA
| | |
| 09-01316 | 11/12/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): David Lesko
Respondent Lawyers(s): Arthur C. Koski
Arbitrator(s): Sandra J. Bakalus
Hearing Site: Ft. Lauderdale, FL
| | |
| 09-03716 | 11/12/2009 | Claimant(s): David Feuer, Susan Feuer, D. Feuer DDS PST & 401K Plan U/A 7/1/03, D. Feuer DDS PST & 401K Plan, U/A 7/13/7, David D. Feuer Trust U/A 11/29/96
Claimant Lawyers(s): Marc S. Dobin
Respondent(s): VFinance Investments.
Respondent Lawyers(s): Patrick L. Hilton
Arbitrator(s): Marie G. Peterson
Hearing Site: Boca Raton, FL
| | |
| 08-02990 | 11/12/2009 | Claimant(s): George Kostuch
Claimant Lawyers(s): Lee Bowie
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Larry E. Mobley
Arbitrator(s): Michael T. Nobile, Donald Milo Helton, Charles H. Peterson
Hearing Site: New Orleans, LA
| | $0 |
