| 07-02629 | 04/29/2009 | Claimant(s): GunnAllen Financial.
Claimant Lawyers(s): Williard R. Knox
Respondent(s): Carlos Bonilla, Jaime Diaz
Respondent Lawyers(s): Richard A. Roth
Arbitrator(s): Margaret M McQueeney, Denise N. Seegobin, Joseph Mark Hubbell
Hearing Site: New York, NY
| | |
| 08-02780 | 04/29/2009 | Claimant(s): Wachovia Securities
Claimant Lawyers(s): Cliff G. Anderson
Respondent(s): William Dahm
Respondent Lawyers(s): William C. Dahm
Arbitrator(s): Edward T. Borer, Peter D. Shelp, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
| | |
| 08-00988 | 04/29/2009 | Claimant(s): Kimberly Arntz, Neil Arntz, Neil J. Arntz, Custodian for Rio A.Arnt, Arntz Family Trust
Claimant Lawyers(s): David Gaba
Respondent(s): Raymond, James & Associates.
Respondent Lawyers(s): Terrance A. Bostic
Arbitrator(s): Jeanne C. Stilwell, G. E. Craig Doupe, Linda I. Thomas
Hearing Site: Seattle, WA
|  | $48,879 |
| 08-03222 | 04/29/2009 | Claimant(s): William Stackpole
Claimant Lawyers(s): James A. Dunlap
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): John-David H. Thomas
Arbitrator(s): Michael G. Hanlon
Hearing Site: Boise, ID
| | $2,531 |
| 08-04259 | 04/29/2009 | Claimant(s): Emery Sher
Claimant Lawyers(s): Emery P. Sher
Respondent(s): Stifel, Nicolaus & Co.., Kirk Cleland, Matthew Kyler
Respondent Lawyers(s): Jeffrey C. Primiano
Arbitrator(s): Joan L. Volz
Hearing Site: Minneapolis, MN
| | $4,979 |
| 08-00821 | 04/29/2009 | Claimant(s): David Rademacher
Claimant Lawyers(s): Gene Mitchell
Respondent(s): Morgan Keegan & Company.
Respondent Lawyers(s): Brad Rounsaville
Arbitrator(s): Frederick S. Duncan, W. Patrick Baker, Elton W. Chartrand
Hearing Site: New Orleans, LA
| | $0 |
| 08-01052 | 04/28/2009 | Claimant(s): Investment Professionals.
Claimant Lawyers(s): Christopher H. Tovar
Respondent(s): Cary Scheer, Corey McCarty
Respondent Lawyers(s): John R. Fahy
Arbitrator(s): Robert L. Yeager, Melody A. Pruser, David A. Schuler
Hearing Site: Dallas, TX
| | |
| 08-01302 | 04/28/2009 | Claimant(s): American Capital Partners
Claimant Lawyers(s): J. Christopher Albanese
Respondent(s): Jaime Rodriguez
Respondent Lawyers(s): Jaime Rodriguez
Arbitrator(s): Berton Seltzberg
Hearing Site: New York, NY
| | |
| 08-03686 | 04/28/2009 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): Raquel Terrigno
Respondent(s): Caroline Mellema
Respondent Lawyers(s): David A. Weintraub
Arbitrator(s): Lanny M. Leff
Hearing Site: Ft. Lauderdale, FL
| | |
| 08-02373 | 04/28/2009 | Claimant(s): Katharine Murphy
Claimant Lawyers(s): Richard Pratt
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Kelly Moynihan
Arbitrator(s): Amy Seltzer
Hearing Site: San Francisco, CA
| | $0 |
