| 08-01910 | 09/17/2009 | Claimant(s): Robert Young
Claimant Lawyers(s): Robert C. Young
Respondent(s): Charles Teixeira, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Corin R. Swift
Arbitrator(s): Judith C. Zerden, Jacob Aschkenasy, Matthew Loguercio
Hearing Site: New York, NY
|  | $0 |
| 09-01921 | 09/16/2009 | Claimant(s): BBVA Securities Of Puerto Rico.
Claimant Lawyers(s): Sonia Marbarak
Respondent(s): Dennis Cummings Perez
Respondent Lawyers(s): Dennis Domingo Cummings Perez
Arbitrator(s): Jonathan H. Parker
Hearing Site: San Juan, PR
| | |
| 08-01677 | 09/16/2009 | Claimant(s): Janice Ware, Louis Kelley, Shirley Jones, Lorraine Higgins Estate, Marnita M. Crow and Jan C. Scruggs, Paul and Shirley Vanderburg, Ronald B. and Katharine H. Killary
Claimant Lawyers(s): Richard S. Frankowski
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Joshua D. Jones
Arbitrator(s): David L. Walby, Ronald Griffith Wilkins, John G. Manley
Hearing Site: Birmingham, AL
| | $148,050 |
| 09-02027 | 09/16/2009 | Claimant(s): Mark Kaplan
Claimant Lawyers(s): Felix M. Phillips
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Dan A. Rosenbaum
Arbitrator(s): Mark S. Gleason
Hearing Site: Minneapolis, MN
| | $25,000 |
| 08-00801 | 09/15/2009 | Claimant(s): National Alliance Capital
Claimant Lawyers(s): John F. Redwine
Respondent(s): Stephen Jencks
Respondent Lawyers(s): Stephen Jencks
Arbitrator(s): Peter G. Walker, Richard D. Brady, Kim D. Stephens
Hearing Site: Seattle, WA
| | |
| 08-04338 | 09/15/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Andrew Prophet
Respondent Lawyers(s): Andrew Seafus Prophet
Arbitrator(s): Dallas Whitney Coffman
Hearing Site: Hartford, CT
| | |
| 09-01073 | 09/15/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Dean Matthews
Respondent Lawyers(s): Dean Sean Matthews
Arbitrator(s): Mitchell M. Willoughby
Hearing Site: Charlotte, NC
| | |
| 09-01078 | 09/15/2009 | Claimant(s): Elaine Lustig
Claimant Lawyers(s): Elaine B. Lustig
Respondent(s): Barry Pollara, UBS Financial Services Inc., Linda Inman
Respondent Lawyers(s): Randi Perry Spallina
Arbitrator(s): Michael H. McConihe
Hearing Site: Norfolk, VA
| | $1,510 |
| 08-04790 | 09/15/2009 | Claimant(s): Charles E. Solak 401K Profit Sharing Pla
Claimant Lawyers(s): Charles E. Solak
Respondent(s): Jeffrey Parr, John Shaw, Thomas Weisel Partners LLC
Respondent Lawyers(s): Gilbert R. Serota
Arbitrator(s): Charles Hoffman, Robert J. Saex, Michael S. Kozlow
Hearing Site: Ft. Lauderdale, FL
| | $0 |
| 08-00640 | 09/14/2009 | Claimant(s): Carol Dahl, Citicorp Investment Services/ Citigroup
Claimant Lawyers(s): David Butler
Respondent(s): Michael Miley
Respondent Lawyers(s): Ronald P. Labeck
Arbitrator(s): Zuhayr A. Moghrabi, Adelfa Ann Lugo, Jonathan P. Russell
Hearing Site: New York, NY
| | Expungement |
