| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
| 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
| | |
