| 07-03283 | 10/15/2009 | Claimant(s): Charles Schwab & Co..
Claimant Lawyers(s): Michael R. Greco
Respondent(s): Eric Dunavant
Respondent Lawyers(s): Thomas K. Potter
Arbitrator(s): Prince C. Chambliss, G. Phillip Shuler, Robert A. Wojcik
Hearing Site: New Orleans, LA
| | |
| 08-01653 | 10/15/2009 | Claimant(s): Francois Pages
Claimant Lawyers(s): Hollis Gonerka Bart
Respondent(s): Calyon Securities (USA) Inc
Respondent Lawyers(s): Barbara M. Roth
Arbitrator(s): Annette B. Meyers, Michael S. Lazan, Paul R. Walsh
Hearing Site: New York, NY
| | |
| 09-02313 | 10/15/2009 | Claimant(s): Janney Montgomery Scott LLC
Claimant Lawyers(s): Jill B. Clarke
Respondent(s): John Baker
Respondent Lawyers(s): John Robert Baker
Arbitrator(s): Jeffrey Steinberg
Hearing Site: Philadelphia, PA
| | |
| 07-00945 | 10/15/2009 | Claimant(s): Leslie Cox-Colon
Claimant Lawyers(s): Gary Klein
Respondent(s): Citigroup Global Markets., Juan Colon-Collazo, Loretta Chiofolo
Respondent Lawyers(s): Edward N. Lerner, William A. Hohauser
Arbitrator(s): Edward G. Toptani, Charles L. Henderson, Laurence D. Rose
Hearing Site: New York, NY
|  | $273,717 |
| 08-02091 | 10/15/2009 | Claimant(s): Robert Reid
Claimant Lawyers(s): Robert C Port
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Peter S. Fruin
Arbitrator(s): Irving M. Shlesinger, William Mase Moxley, Thomas Neal Tillery
Hearing Site: Atlanta, GA
| | $100,000 |
| 09-01272 | 10/15/2009 | Claimant(s): David Starkson
Claimant Lawyers(s): David Starkson
Respondent(s): Princor Financial Services Corporation
Respondent Lawyers(s): Ann Hudson
Arbitrator(s): Willy Nordwind
Hearing Site: Phoenix, AZ
| | $5,499 |
| 09-02498 | 10/15/2009 | Claimant(s): The Gulesserian Living Trust
Claimant Lawyers(s): Ryan Gulesserian
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Harper Fertig
Arbitrator(s): Laura Effel
Hearing Site: San Francisco, CA
| | $1,475 |
| 09-01884 | 10/15/2009 | Claimant(s): Michael Matis
Claimant Lawyers(s): Alexander Melbardis
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Jon D. Kaplon
Arbitrator(s): Howard D. Jacob
Hearing Site: New York, NY
| | $213 |
| 09-01894 | 10/15/2009 | Claimant(s): Jeffrey B Yeager and Grazyna Yeager
Claimant Lawyers(s): Jeffrey B Yeager
Respondent(s): Ameriprise Advisor Services.
Respondent Lawyers(s): Lisa S. Fildes
Arbitrator(s): John P. Gouttiere
Hearing Site: Detroit, MI
| | $0 |
| 09-02281 | 10/15/2009 | Claimant(s): Fayed Fayed
Claimant Lawyers(s): Fayed O. Fayed
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): John Bersin
Arbitrator(s): Robert A. Sauerberg
Hearing Site: Ft. Lauderdale, FL
| | $0 |
