| 08-03113 | 09/14/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Jason Roberts
Respondent Lawyers(s): Jason J. Roberts
Arbitrator(s): Douglas E. DeTata, John Edward Bersin, Charles Eugene Markley
Hearing Site: San Francisco, CA
| | |
| 09-01953 | 09/14/2009 | Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Michael Lang
Respondent(s): Brad Nussbaum
Respondent Lawyers(s): Brad N. Nussbaum
Arbitrator(s): Marvin Schleyer
Hearing Site: Newark, NJ
| | |
| 09-02219 | 09/14/2009 | Claimant(s): Morgan Keegan & Company.
Claimant Lawyers(s): William Mccourt Schmitt
Respondent(s): Victor Harberson
Respondent Lawyers(s): Robert L. Hoskins, III
Arbitrator(s): Michael D. Hamilton
Hearing Site: Clearwater, FL
|  | $0 |
| 08-01068 | 09/14/2009 | Claimant(s): Joyce Wilfong
Claimant Lawyers(s): Jan D. Atlas
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Shepherd D. Tate
Arbitrator(s): Gloria J Liddell, Eugene R. Katz, Patricia Best Vital
Hearing Site: Memphis, TN
| | $108,648 |
| 09-00638 | 09/14/2009 | Claimant(s): Nancy C. Wood, Trustee
Claimant Lawyers(s): Nancy C. Wood
Respondent(s): Bill Kearney, Merrill Lynch Pierce Fenner & Smith Inc., Michael Phillip, Steven Neibert
Respondent Lawyers(s): Eric J. Glassman
Arbitrator(s): Robert D. Sussin
Hearing Site: Los Angeles, CA
| | $213 |
| 08-01238 | 09/11/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): D. Daxton White
Respondent(s): James Fournace
Respondent Lawyers(s): James A. Fournace
Arbitrator(s): John R Kiefner, Mimi B. Osiason, William Hugh Nenninger
Hearing Site: Tampa, FL
| | |
| 08-00775 | 09/11/2009 | Claimant(s): Horace Grant
Claimant Lawyers(s): Andrew Stoltmann
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Terry R. Weiss
Arbitrator(s): William J. Adams, Jonathan Schwartz, William Lee Krantz
Hearing Site: Los Angeles, CA
| | $1,460,000 |
| 08-02417 | 09/11/2009 | Claimant(s): Victor Chang, Victor Chang IRA
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Michael M. Gless
Arbitrator(s): Richard J. Stall, Robert B. Moran, Grace L. Heyne
Hearing Site: Los Angeles, CA
| | $88,470 |
| 08-03409 | 09/10/2009 | Claimant(s): Sherry Seidman
Claimant Lawyers(s): Adam J. Gana
Respondent(s): James Kelsoe, Morgan Keegan & Company.
Respondent Lawyers(s): Cheryl L. Haas-Goldstein, Robert M. Brennan
Arbitrator(s): Joan Connolly Grafstein
Hearing Site: Atlanta, GA
| | $32,370 |
| 09-01377 | 09/09/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Hayato Tamura
Respondent Lawyers(s): Hayato Tamura
Arbitrator(s): David Edward Canter
Hearing Site: Los Angeles, CA
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