| 08-02988 | 10/02/2009 | Claimant(s): Shirley Jeup, Shirley A. Jeup IRA
Claimant Lawyers(s): Eric E. Ludin
Respondent(s): Scott Spencer, Spencer International Advisors.
Respondent Lawyers(s): Jeffrey W. Gibson
Arbitrator(s): Norman L. Reiter, Michael D. Hamilton, Papan Devnani
Hearing Site: Clearwater, FL
|  | $205,780 |
| 08-03733 | 10/02/2009 | Claimant(s): Sharon Schoenfeld
Claimant Lawyers(s): Lisa Welch Stevens
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Sean B. Meehan
Arbitrator(s): S. Lee Terry, Martha Jeanne Wilcoxson, Samuel Clinton O'Daniel
Hearing Site: Denver, CO
| | $0 |
| 07-03076 | 10/01/2009 | Claimant(s): Citigroup Global Markets.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): M. Barker
Respondent Lawyers(s): Tracy Barker
Arbitrator(s): James Clifton Stone, Peter L. Pointer, John C. Schenkenfelder
Hearing Site: Cincinnati, OH
| | |
| 08-03618 | 10/01/2009 | Claimant(s): Ameriprise Financial Services., Ameriprise Financial.
Claimant Lawyers(s): John L. Einstein
Respondent(s): Martin Smith
Respondent Lawyers(s): Musa L. Eubanks
Arbitrator(s): David L. Ruderman, Gregory R. Banasz, David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 09-01914 | 10/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Kelley Dean
Respondent Lawyers(s): Kelley Dean
Arbitrator(s): G. Dale McKissick
Hearing Site: Dallas, TX
| | |
| 08-03348 | 10/01/2009 | Claimant(s): Matthew Proman
Claimant Lawyers(s): Randy Scott Zelin
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Robert E. Holley, Frank J. Spencer
Hearing Site: New York, NY
| | $15,925 |
| 09-01567 | 10/01/2009 | Claimant(s): Balasubramanian Ganesh, Bhuvaneswan Basubramanian
Claimant Lawyers(s): Balasubramanian Ganesh
Respondent(s): Banc of America Investment Services Inc.
Respondent Lawyers(s): Nikole Crosby
Arbitrator(s): Jeff Abrams
Hearing Site: Dallas, TX
| | $2,287 |
| 07-02564 | 09/30/2009 | Claimant(s): TD Banknorth, N.A.
Claimant Lawyers(s): Thomas W. Witherington
Respondent(s): Jeffrey Davis, National Planning Corporation
Respondent Lawyers(s): Richard N. Freeth
Arbitrator(s): Samuel H. Chorches, Philip S. Wellman, Sean Alan D'Amico
Hearing Site: Hartford, CT
| | |
| 08-02027 | 09/30/2009 | Claimant(s): Midsouth Capital.
Claimant Lawyers(s): Samuel T. Brannan
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Robert M. Rudnicki
Arbitrator(s): Perry Lee Taylor, Victor L. Hayslip, Bernard Leroy Lynch
Hearing Site: Atlanta, GA
| | |
| 08-03510 | 09/30/2009 | Claimant(s): Grover Stults
Claimant Lawyers(s): Robert M Fellheimer
Respondent(s): Edward Oudenne
Respondent Lawyers(s): Larry Lefkowitz
Arbitrator(s): E. William Pastor
Hearing Site: Philadelphia, PA
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