08-04505 | 07/22/2009 | Claimant(s): George O. Miles and Sharon K. Miles Claimant Lawyers(s): George O. Miles Respondent(s): Wachovia Securities, Gerald Rabin, Gregory Ek Respondent Lawyers(s): James C. Browning Arbitrator(s): Murray S. Levin, W. Richard Keene, Michael J. Hunter Hearing Site: Kansas City, MO
| | $0 |
09-00617 | 07/22/2009 | Claimant(s): James Barron Claimant Lawyers(s): James Barron Respondent(s): Fidelity Brokerage Services LLC Respondent Lawyers(s): Diane M. Brown Arbitrator(s): Lucy J. Karl Hearing Site: Boston, MA
| | $0 |
08-04906 | 07/21/2009 | Claimant(s): Fidelity Brokerage Services LLC Claimant Lawyers(s): Laurence K. Richmond Respondent(s): David Griswold Respondent Lawyers(s): David Griswold Arbitrator(s): Ronald W. Devoe Hearing Site: Orlando, FL
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08-02454 | 07/21/2009 | Claimant(s): Donald Carter, Jennifer Carter, Nancy Carter, Lauren Carter Millennium Trust, Lauren Eve Carter Educational Trust, Maxine Half Revocable Trust, Nancy Carter & Kevin Asch Trust, Nancy Carter & Stephanie Asch 1992 Tr, Stephanie Carter Millennium Trust, Stephanie Esther Carter Educational Tr Claimant Lawyers(s): David J. Feingold Respondent(s): Wachovia Securities, Kurt Sylvia Respondent Lawyers(s): Alan Rafterman Arbitrator(s): Paul W. Sterman, Joseph Benalt, Gabriela Rif Hearing Site: Boca Raton, FL
| | $143,000 |
08-03736 | 07/21/2009 | Claimant(s): Natasha Shliapnikoff, Rodion Nahapetov Claimant Lawyers(s): Kirk G. Smith Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Hugo A. Hilgendorff Arbitrator(s): Carolyn V. Quadt Hearing Site: Los Angeles, CA
| | $3,000 |
08-02048 | 07/21/2009 | Claimant(s): Carol Ruch Claimant Lawyers(s): Thomas L. Krebs Respondent(s): Morgan Keegan & Company. Respondent Lawyers(s): Carl S. Burkhalter Arbitrator(s): Larry D. Hayden, Thaddeus J. Tecza, John A. Criswell Hearing Site: Denver, CO
| | $0 |
08-02255 | 07/21/2009 | Claimant(s): Hung Hoang Claimant Lawyers(s): James T. Kim Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): Harry B. Endsley, E. Duane Stephens, Hadden Wing Roth Hearing Site: San Francisco, CA
| | $0 |
08-04802 | 07/21/2009 | Claimant(s): Jean Francis Schirard, IRA, Jean & Joseph Schirard and Lisa Buchanan Claimant Lawyers(s): Marnie C. Lambert Respondent(s): Charles Schwab & Co.. Respondent Lawyers(s): Evelyn A. Christensen Arbitrator(s): G. Maynard Green Hearing Site: Dallas, TX
| | $0 |
09-01271 | 07/21/2009 | Claimant(s): Gilbert Meem, Knight Meem Claimant Lawyers(s): Howard Meyers Respondent(s): Wachovia Securities Respondent Lawyers(s): Beverly Jo Slaughter Arbitrator(s): Martin L. Feinberg Hearing Site: New York, NY
| | $213 |
08-02129 | 07/20/2009 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Edward Walton Respondent(s): Kevin Leet Respondent Lawyers(s): Brigid O. Gies Arbitrator(s): John C. Schenkenfelder, Amelia F. Adams, Alex H. Keller Hearing Site: Louisville, KY
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