| 09-00167 | 09/28/2009 | Claimant(s): Betty Wilson
Claimant Lawyers(s): Betty Lou Wilson
Respondent(s): Dennis Goldstrand
Respondent Lawyers(s): Dennis Joseph Goldstrand
Arbitrator(s): John J. Fitzpatrick
Hearing Site: San Francisco, CA
| | |
| 09-01919 | 09/28/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Christopher Weighart
Respondent Lawyers(s): Christopher Grey Weighart
Arbitrator(s): Joseph F. Pittelli
Hearing Site: Philadelphia, PA
| | |
| 09-02089 | 09/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): David Armstrong
Respondent Lawyers(s): David Lawrence Armstrong
Arbitrator(s): Iris Taymore Schnitzer
Hearing Site: Boston, MA
| | |
| 09-00578 | 09/28/2009 | Claimant(s): Robert S. Barnhill IRA
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John David Thomas
Arbitrator(s): Mark L Miller
Hearing Site: Chicago, IL
|  | $25,425 |
| 09-01346 | 09/28/2009 | Claimant(s): John G. Sauermann
Claimant Lawyers(s): John G. Sauermann
Respondent(s): Nathan Alexander, Fidelity Brokerage Services LLC
Respondent Lawyers(s): Kerry Florio Labovitz
Arbitrator(s): Daniel A. Kile
Hearing Site: Dallas, TX
| | $213 |
| 09-02574 | 09/28/2009 | Claimant(s): Gary Bech
Claimant Lawyers(s): Raymond S. Weber
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Michael R.E. Sanders
Hearing Site: Seattle, WA
| | $213 |
| 09-01007 | 09/25/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Timothy N. Will
Respondent(s): James Hodgins
Respondent Lawyers(s): James Paul Hodgins
Arbitrator(s): Robert Bruce MacDonald, George Frederick Garris, Paul Frederick Meyer
Hearing Site: Los Angeles, CA
| | |
| 08-01475 | 09/25/2009 | Claimant(s): Carol Friedman
Claimant Lawyers(s): James J. Moylan
Respondent(s): Jordan Zaro, Riverside Securities., Terra Nova Financial
Respondent Lawyers(s): David F. Benson, Jordan P. Zaro, President
Arbitrator(s): Frederic M. Rizzo, Susanne J. Hollander, Robert P. Keno
Hearing Site: Chicago, IL
| | $251,361 |
| 08-01533 | 09/25/2009 | Claimant(s): Solaris Opportunity, L.P.
Claimant Lawyers(s): James E. Judge
Respondent(s): Phlip Pendergraft, Penson Financial Services.
Respondent Lawyers(s): Thomas W. Craddock
Arbitrator(s): Stuart D. Summers, Philip J. Glick, Ralph O. Bolt
Hearing Site: Chicago, IL
| | $200,000 |
| 08-03215 | 09/25/2009 | Claimant(s): The Nasatir Children's Trust
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Stacey M. Garrett
Arbitrator(s): Richard M. Leigh, Ronald L. Cameron, Arthur T. Berggren
Hearing Site: Los Angeles, CA
| | $125,729 |
