| 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
| | |
| 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
| | |
