| 07-01200 | 09/02/2009 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Wade Contney
Respondent Lawyers(s): Wade Contney
Arbitrator(s): Paul G. Cuomo, John Joseph Cotter, James J. Gadarowski
Hearing Site: Providence, RI
| | |
| 07-01890 | 09/02/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Michael Minervini
Respondent Lawyers(s): Roger Hennagin
Arbitrator(s): Robert E.L. Bonaparte, James John Jurinski, John Edward Bersin
Hearing Site: Portland, OR
| | |
| 08-00368 | 09/02/2009 | Claimant(s): Ahmad Ahmadian
Claimant Lawyers(s): Ahmad Ahmadian
Respondent(s): Calvin Mason, Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Bradford J. Lam, Leon C. Tupy, Robert M. Fusfeld
Hearing Site: Denver, CO
|  | $0 |
| 09-01617 | 09/02/2009 | Claimant(s): Sarah Maseth
Claimant Lawyers(s): Sarah A Maseth
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Gordon B. Shneider
Hearing Site: Chicago, IL
| | $163 |
| 09-01777 | 09/02/2009 | Claimant(s): FBO MRK Rev. Trust by Myles Klein Ttte
Claimant Lawyers(s): Myles Klein
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Adam Kauff
Arbitrator(s): Allen Kilik
Hearing Site: Boca Raton, FL
| | $0 |
| 08-02919 | 09/01/2009 | Claimant(s): William Gurney
Claimant Lawyers(s): William H. Gurney
Respondent(s): Robert Lewis, Lewis Management Corporation
Respondent Lawyers(s): George V.C. Muscato
Arbitrator(s): David Buch, Vincent Micciche, Karin A. Schlosser
Hearing Site: Buffalo, NY
| | Expungement |
| 09-00074 | 09/01/2009 | Claimant(s): Summit Brokerage Services.
Claimant Lawyers(s): Gary Menzer
Respondent(s): Gregory Kinkead
Respondent Lawyers(s): John R. McMillan
Arbitrator(s): Barry A. Mainardi
Hearing Site: Las Vegas, NV
| | |
| 09-00159 | 09/01/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Rocco Licalsi
Respondent Lawyers(s): James N. Barletti
Arbitrator(s): Nathan J. Minucci
Hearing Site: Newark, NJ
| | |
| 09-00637 | 09/01/2009 | Claimant(s): Rhonda Redman
Claimant Lawyers(s): Rhonda Redman
Respondent(s): Kirk Daniels
Respondent Lawyers(s): Kirk J. Daniels
Arbitrator(s): Charles A. Ferris
Hearing Site: Indianapolis, IN
| | |
| 08-01106 | 09/01/2009 | Claimant(s): Estate of Lowell D. Adams
Claimant Lawyers(s): Michael A. Caldwell
Respondent(s): Charles Wideman, Edward Jones
Respondent Lawyers(s): E. Linwood Gunn
Arbitrator(s): Lawrence M. Oberdank, Kenneth I. Daniels, David E. Morris
Hearing Site: Atlanta, GA
| | $8,748 |
