| 08-01606 | 05/26/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Nicole Stadelmaier
Respondent(s): Gregory Ricker
Respondent Lawyers(s): Grover S. Parnell, Jr.
Arbitrator(s): Alan M. Schankel, Felix A. Meschini, John T. Hausladen
Hearing Site: Philadelphia, PA
| | |
| 08-02010 | 05/26/2009 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): Chris Rotan
Respondent Lawyers(s): Dan McElroy
Arbitrator(s): R. Dan Mitchell, James P. Kinkade, Larry N. Quinn
Hearing Site: Dallas, TX
| | |
| 04-04964 | 05/26/2009 | Claimant(s): Edward A. and Phyllis J. Garabedian
Claimant Lawyers(s): William B. Young
Respondent(s): Citigroup Global Markets., Jack B. Grubman
Respondent Lawyers(s): Mark L. Parmelee
Arbitrator(s): Robert J. Scafuri
Hearing Site: Detroit, MI
|  | $0 |
| 09-00122 | 05/26/2009 | Claimant(s): Ganesh Khandpekar
Claimant Lawyers(s): Ganesh Khandpekar
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): James J. Vihstadt
Arbitrator(s): Lynne T. Albert
Hearing Site: Raleigh, NC
| | $0 |
| 08-01694 | 05/22/2009 | Claimant(s): Gregory Glenn
Claimant Lawyers(s): Derek C. Anderson
Respondent(s): Amy Melner, UBS Financial Services Inc., Lisa Cregan
Respondent Lawyers(s): Tracy A. Miller
Arbitrator(s): Daniel J. Lind, Eugene R. Nielson, Edwin J. Buckley
Hearing Site: Phoenix, AZ
| | |
| 08-00489 | 05/22/2009 | Claimant(s): John Francesconi
Claimant Lawyers(s): Nicholas J. Bell
Respondent(s): Dixon Handwerk, Michael Thaler
Respondent Lawyers(s): Andrew Biondi, Debra S. Stafford
Arbitrator(s): William F. Etherington, Christopher M. McMurray, Margaret Verdery Little
Hearing Site: Richmond, VA
| | Stipulated Award and Expungement |
| 08-00491 | 05/22/2009 | Claimant(s): Louis Velez
Claimant Lawyers(s): Jeffrey Erez
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Carl Burkhalter
Arbitrator(s): David B. Coates, Michael E. Rohde, Elton W. Chartrand
Hearing Site: Little Rock, AR
| | $75,000 |
| 08-00636 | 05/22/2009 | Claimant(s): Antoine Katbe
Claimant Lawyers(s): Adam J. Gana
Respondent(s): Nicholas Buonocore, Olympia Asset Management, Ltd.
Respondent Lawyers(s): Charles M. O'Rourke
Arbitrator(s): Ernest Fanwick, Alvin Green, Lawrence B. Schiffman
Hearing Site: New York, NY
| | $49,243 |
| 08-00824 | 05/22/2009 | Claimant(s): David Yashon
Claimant Lawyers(s): David Yashon
Respondent(s): Brent Markley, Michael O'Dell, A.G. Edwards & Sons.
Respondent Lawyers(s): Deirdre Wolff, James C. Browning
Arbitrator(s): Jeffrey M. Bain, Charles D. Underwood, Erick R. Zanner
Hearing Site: Columbus, OH
| | $46,000 |
| 08-03125 | 05/22/2009 | Claimant(s): Joel W. Carter, IRA, Louise Carter, TTEE for Carter Family
Claimant Lawyers(s): Marnie C. Lambert
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Joseph C. Watson
Hearing Site: Los Angeles, CA
| | $5,825 |
