| 09-00861 | 09/01/2009 | Claimant(s): Helen Howard
Claimant Lawyers(s): Neil A. Sussman
Respondent(s): Wells Fargo Investments, David Logsdon
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): William G. Binckes, Carol E. Weir, Kevin B. Naughten
Hearing Site: New York, NY
|  | Expungement |
| 09-01081 | 09/01/2009 | Claimant(s): William Formon and Kimberly A. Formon
Claimant Lawyers(s): William Formon
Respondent(s): Charles Schwab, Evelyn Dilsaver, George Pereira, Charles Schwab & Co.., Randall Merk, Charles Schwab Investment Management, Schwab Investments., The Charles Schwab Corporation
Respondent Lawyers(s): Richard A. Karoly
Arbitrator(s): Madelon M. Rosenfeld
Hearing Site: New York, NY
| | $11,555 |
| 09-01242 | 09/01/2009 | Claimant(s): Edward Gaul
Claimant Lawyers(s): Edward Gaul
Respondent(s): Bruce Balkcom, Investors Capital Corp.
Respondent Lawyers(s): James A. McGovern
Arbitrator(s): Stanley H. Labinger
Hearing Site: Providence, RI
| | $12,713 |
| 08-03574 | 08/31/2009 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Thomas Heinz Teltscher
Respondent Lawyers(s): Thomas K. Heinz Teltscher
Arbitrator(s): Robert D. Sussin, Gerald C. Tambe, William J. Adams
Hearing Site: Los Angeles, CA
| | |
| 08-00285 | 08/31/2009 | Claimant(s): Guy Hirsch
Claimant Lawyers(s): George L. Thompson
Respondent(s): Kerry Campbell, First Asset Financial Inc.
Respondent Lawyers(s): Robert L. Wright
Arbitrator(s): Donald Vincent Enright, Russell H Hairston, James Douglas Haigh
Hearing Site: Dallas, TX
| | Stipulated Award |
| 08-01978 | 08/31/2009 | Claimant(s): Rosalie Sellitto
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Ameriprise Financial Services., Michael Sangirardi
Respondent Lawyers(s): Michael J. Zaretsky
Arbitrator(s): Peter J. Kenny, Judith Levin, Howard Weitz
Hearing Site: New York, NY
| | $67,750 |
| 08-01982 | 08/31/2009 | Claimant(s): Larry W. Papasan Living Trust
Claimant Lawyers(s): Dale Ledbetter
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John Golwen
Arbitrator(s): Philip J. Glick, Eugene R. Katz, Richard K. Smith
Hearing Site: Memphis, TN
| | $51,000 |
| 08-03217 | 08/31/2009 | Claimant(s): Melissa Kreisberg, Wayne Kreisberg
Claimant Lawyers(s): Neil B. Solomon
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Lisa B. Dodge
Arbitrator(s): Monroe Mitchel, Marc Scott Shapiro, Allen J. Lefton
Hearing Site: Boca Raton, FL
| | $40,000 |
| 07-03507 | 08/31/2009 | Claimant(s): John Alltop, Lacoe Alltop, Robert Jordan
Claimant Lawyers(s): William L. Haugh
Respondent(s): Wachovia Securities
Respondent Lawyers(s): Andrew R. Park
Arbitrator(s): Michael J. Henke, Jane F. Moore, Richard Jeffrey Magid
Hearing Site: Baltimore, MD
| | $375 |
| 07-03149 | 08/28/2009 | Claimant(s): Morgan Stanley & Co.
Claimant Lawyers(s): Robert L. Tobey
Respondent(s): Andrew Williams
Respondent Lawyers(s): Andrew F. Williams
Arbitrator(s): Mark I Preston, John M. Wilkinson, Carleton E. Blankenburg
Hearing Site: Dallas, TX
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