| 08-04230 | 08/26/2009 | Claimant(s): Pearlene Love
Claimant Lawyers(s): Pearlene Perry Love
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Corin R. Swift
Arbitrator(s): Robert L. Chisolm
Hearing Site: Dallas, TX
| | |
| 09-01314 | 08/26/2009 | Claimant(s): Newbridge Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Joseph Aiello
Respondent Lawyers(s): Joseph John Aiello
Arbitrator(s): David E. Mowry
Hearing Site: Boca Raton, FL
| | |
| 08-04006 | 08/26/2009 | Claimant(s): Peak Securities Corporation
Claimant Lawyers(s): Chad Weaver
Respondent(s): Gregg Mulholland, Bruin Industries.
Respondent Lawyers(s): Irving M. Einhorn
Arbitrator(s): Elliott David Finkel, Dennis A. Torres, Randall N. Kirk
Hearing Site: Los Angeles, CA
|  | $0 |
| 08-02954 | 08/26/2009 | Claimant(s): Gwen Thompson, Keith Thompson, Gwen A. Thompson IRA Contributory, Keith R. Thomas IRA Contributory
Claimant Lawyers(s): Tod D. Geidl
Respondent(s): Craig Wessels, Charles Schwab & Co..
Respondent Lawyers(s): Kelly Moynihan
Arbitrator(s): Douglas Martin Crow, Kevin D. Swenson, Burton LaVon Beahm
Hearing Site: Boise, ID
| | $164,727 |
| 08-03949 | 08/26/2009 | Claimant(s): John Holloway
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Meredith M. Thompson
Arbitrator(s): Lawrence M. Oberdank, Mark J. Happe, Robert N. Kohn
Hearing Site: Birmingham, AL
| | $0 |
| 09-00227 | 08/26/2009 | Claimant(s): Gustavo M. and Magaly Eliza Vasquez
Claimant Lawyers(s): Gustavo M. Vasquez
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Tracey Salmon Smith
Arbitrator(s): Arnold Samuel Tesh
Hearing Site: Washington, DC
| | $0 |
| 08-02151 | 08/25/2009 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Christopher S. Koller
Respondent(s): Samuel Begun
Respondent Lawyers(s): Samuel Begun
Arbitrator(s): Bonnie K. Wachtel, Ralph S. Blascovich, Paul A. Fischer
Hearing Site: Washington, DC
| | |
| 09-00668 | 08/25/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Jonathan E. Levine
Respondent(s): Bruce Bruning
Respondent Lawyers(s): Bruce K. Bruning
Arbitrator(s): John N. Breazeale
Hearing Site: Boca Raton, FL
| | |
| 07-01491 | 08/25/2009 | Claimant(s): Brad Phalen, Chatt Cottle, Crystal Phalen, Jennifer Cottle
Claimant Lawyers(s): Scott Heselmeyer
Respondent(s): Charles Carter, James Alldredge, World Group Securities.
Respondent Lawyers(s): Amy C. Welborn, David B. Dyer, Robert G. Brunton
Arbitrator(s): Robert R. Nursey, Synthia L. Taylor, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | Expungement |
| 08-01322 | 08/25/2009 | Claimant(s): Ilene Graham
Claimant Lawyers(s): William S. Bonnheim
Respondent(s): Michael Goodman, Stone & Youngberg LLC
Respondent Lawyers(s): Cara L. Meredith, Gregory E. Copeland
Arbitrator(s): Jeffrey E. Skogsbergh, Richard J. Stall, Dennis A. Torres
Hearing Site: Los Angeles, CA
| | Expungement |
