08-04173 | 04/22/2009 | Claimant(s): Ameriprise Advisor Services. Claimant Lawyers(s): Diane C. Fischer Respondent(s): Michael Parker Respondent Lawyers(s): Michael Joe Parker Arbitrator(s): Robert A. Vogler Hearing Site: Detroit, MI
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08-04208 | 04/22/2009 | Claimant(s): Riverstone Wealth Management. Claimant Lawyers(s): Marc L. Lippincott Respondent(s): Jacob Carriker Respondent Lawyers(s): Jacob Stevenson Carriker Arbitrator(s): Donald K. Eckhardt Hearing Site: Houston, TX
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08-04335 | 04/22/2009 | Claimant(s): Howard Braff Claimant Lawyers(s): Howard Braff Respondent(s): Christopher Collins Respondent Lawyers(s): Christopher Alfredo Collins Arbitrator(s): Catherine Ladnier Hearing Site: New York, NY
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08-02586 | 04/22/2009 | Claimant(s): Christine Powers Claimant Lawyers(s): Christine M. Powers Respondent(s): Thomas Schwarz Respondent Lawyers(s): Paula Burnett Moore Arbitrator(s): Joseph R. Soraghan Hearing Site: St. Louis, MO
| | $0 |
08-00169 | 04/21/2009 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Timothy N. Will Respondent(s): Bryant Hayward, Richard Holm, Robert Corona Respondent Lawyers(s): Charles H. Torres, Timothy N. Will Arbitrator(s): Suanne M. Parro, Luis D. Rovira, Wylie G. Hairgrove Hearing Site: Denver, CO
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08-00737 | 04/21/2009 | Claimant(s): Brian Armstrong, Shawndi Hatfield Claimant Lawyers(s): Randall M. Foret Respondent(s): Julie Rosenthal, William Rosenthal Respondent Lawyers(s): Thomas S. Brandon Arbitrator(s): Tony Michael Haddock, James W. Kerr, Mary Elizabeth Skelnik Hearing Site: Dallas, TX
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08-03362 | 04/21/2009 | Claimant(s): Kathy Sechrist Claimant Lawyers(s): Kathy Sechrist Respondent(s): E* Trade Secuities LLC Respondent Lawyers(s): John Bersin Arbitrator(s): Avery B. Goodman Hearing Site: Cheyenne, WY
| | $675 |
08-02599 | 04/20/2009 | Claimant(s): Betsy Rubin, Fred Rubin Revocable Trust Claimant Lawyers(s): Bradford M. Gucciardo Respondent(s): UBS Financial Services Inc. Respondent Lawyers(s): Rebecca E. Swenson Arbitrator(s): David L. Hodgson, Steven E. Eisenberg, Gary Paul Whorton Hearing Site: Boca Raton, FL
| | Stipulated Award and Expungement |
07-01972 | 04/17/2009 | Claimant(s): Timothy Sullivan Claimant Lawyers(s): Anne Marie Murphy Respondent(s): Advanced Equities. Respondent Lawyers(s): Kelly J. Moynihan Arbitrator(s): Paul J. Dubow, Carl B. Noelke, Thomas C. McNally Hearing Site: San Francisco, CA
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08-01749 | 04/17/2009 | Claimant(s): Morgan Stanley & Co. Claimant Lawyers(s): Philip J. Campisi Respondent(s): Van Washington Respondent Lawyers(s): Van Washington Arbitrator(s): Simeon R. Trotter, Robert R. Nursey, Darrell G. Compton Hearing Site: Dallas, TX
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