| 08-00530 | 06/04/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Brady J. Hermann
Respondent(s): Charles Griffin
Respondent Lawyers(s): Charles C. Griffin
Arbitrator(s): Michael Lloyd Weisel, Frank Samuel Perri, John E. Baynum
Hearing Site: Raleigh, NC
| | |
| 08-00653 | 06/04/2009 | Claimant(s): Matthew Eastwick
Claimant Lawyers(s): James A. Batson
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Ronald Minkoff
Arbitrator(s): Bernard A. Friedman, Leslie Ruth Nydick, Michael J. Contrastano
Hearing Site: New York, NY
| | |
| 08-00732 | 06/04/2009 | Claimant(s): Kurt Lichtman
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): RBS Greenwich Capital
Respondent Lawyers(s): Keith A. Markel
Arbitrator(s): Lionel C. Bandler, Jill I. Gross, Lori Ann Romeo
Hearing Site: New York, NY
| | |
| 05-05872 | 06/04/2009 | Claimant(s): Lloyd and Edith Kippley
Claimant Lawyers(s): Bruce D. Oakes
Respondent(s): First Republic Group
Respondent Lawyers(s): Steven E. Mellen
Arbitrator(s): Emanuel V. Gumina, James R. Schoenike, William B. Ross
Hearing Site: Milwaukee, WI
|  | $134,504 |
| 08-01204 | 06/04/2009 | Claimant(s): Brian McDonald
Claimant Lawyers(s): Retta A. Miller
Respondent(s): Robyn Reagan, Regal Securities Inc.
Respondent Lawyers(s): Nicholas P. Iavarone, Steven J. Berry
Arbitrator(s): Maxel (Bud) B. Silverberg, George F. Longino, Leighton Aiken
Hearing Site: Dallas, TX
| | $172,864 |
| 99-04694 | 06/04/2009 | Claimant(s): Suryakant & Sushila Patel
Claimant Lawyers(s): Jonathan W. Evans
Respondent(s): Barbara Ralston, Charles Lazzaro, Drew Chalmers, First Wall Street Corp.
Respondent Lawyers(s): Christopher P. Mader, Cynthia M. Schleindl
Arbitrator(s): Steven Gourley, Luis R. Ruiz, Sheldon Stanford Ellis, Joseph Winter
Hearing Site: Phoenix, AZ
| | Expungement |
| 04-05955 | 06/04/2009 | Claimant(s): Barbara J. and Robert V. Hinshaw
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Kathleen A. DeLaney
Hearing Site: Indianapolis, IN
| | $0 |
| 07-03394 | 06/04/2009 | Claimant(s): Henry Archer
Claimant Lawyers(s): Henry W. Archer
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Sam Antar, Richard D. Levin, James M. Rhodes
Hearing Site: New York, NY
| | $0 |
| 08-00539 | 06/04/2009 | Claimant(s): Arun Chaudhuri
Claimant Lawyers(s): Arun K. Chaudhuri
Respondent(s): Jason Tellinghuisen, Jeff Smith, Richard Chun, Rod Gonzales
Respondent Lawyers(s): John L. Erikson
Arbitrator(s): Robert W. Vernon
Hearing Site: Los Angeles, CA
| | $0 |
| 08-01777 | 06/04/2009 | Claimant(s): Kais Maalej
Claimant Lawyers(s): Kais Maalej
Respondent(s): Scottrade.
Respondent Lawyers(s): Ryan M. Blum
Arbitrator(s): Martin H. Zern
Hearing Site: New York, NY
| | $0 |
