07-03120 | 09/12/2008 | Claimant(s): Anita Wood Claimant Lawyers(s): Arthur S. Leider Respondent(s): Lance Pelky, ING Financial Partners. Respondent Lawyers(s): Sam Y. Edgerton Arbitrator(s): Gunnar Thowsen, Erwin Jay Shustak, Sally G. Williams Hearing Site: San Diego, CA
| | Dismissed by Rule 12206 |
07-03269 | 09/12/2008 | Claimant(s): Beatrice Kershenblatt Claimant Lawyers(s): Beatrice B. Kershenblatt Respondent(s): David Karp, A.G. Edwards & Sons. Respondent Lawyers(s): David Butler Arbitrator(s): Joseph R. Lally, Sean M. Sweeney, Allen M. Kerpan Hearing Site: Philadelphia, PA
| | $0 |
08-00213 | 09/12/2008 | Claimant(s): Kamiar Saeedian Claimant Lawyers(s): Kamiar Saeedian Respondent(s): TD Ameritrade. Respondent Lawyers(s): James J. Vihstadt Arbitrator(s): S. Lee Terry Hearing Site: Denver, CO
| | $125 |
07-02417 | 09/11/2008 | Claimant(s): Wachovia Securities Claimant Lawyers(s): Renan I. Sugarman Respondent(s): Bruce Myers Respondent Lawyers(s): Bruce W. Myers Arbitrator(s): William A. Husa, Charles M. Ackerman, Alan Reginald Doe Hearing Site: Seattle, WA
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07-02280 | 09/10/2008 | Claimant(s): Charles Kromer Claimant Lawyers(s): Megan Clark Respondent(s): Fifth Third Securities. Respondent Lawyers(s): David K. Montgomery Arbitrator(s): Charles D. Underwood, Debora A. Caley, Christy K. Radigan Hearing Site: Cincinnati, OH
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08-00418 | 09/10/2008 | Claimant(s): David Hargreaves Claimant Lawyers(s): Richard B. Fosher Respondent(s): CUSO Financial Services, L.P., Financial Network Investment Corporation Respondent Lawyers(s): Jonathan A. Boynton, Stephen E. Csajaghy Arbitrator(s): Richard M. Reider, Arthur E. Otten, Peter G. Bowen Hearing Site: Denver, CO
| | $0 |
08-00328 | 09/09/2008 | Claimant(s): Banc of America Investment Services Inc. Claimant Lawyers(s): Diane C. Fischer Respondent(s): William Rexrode Respondent Lawyers(s): William T. Rexrode Arbitrator(s): Dale A. Hearn, Walter F. Schleyer, Ruth Smith Jackson Hearing Site: Houston, TX
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06-04178 | 09/09/2008 | Claimant(s): AIG Financial Advisors. Claimant Lawyers(s): Janet Weinstein Respondent(s): James Yim Respondent Lawyers(s): James B. Yim Arbitrator(s): Joseph C. Roberts Hearing Site: Reno, NV
| | $0 |
05-05165 | 09/08/2008 | Claimant(s): Edward Martell Claimant Lawyers(s): Kevin J. Hizon Respondent(s): Calvin Garvin, Rod Kamps, Financial Advisors Network. Respondent Lawyers(s): Kevin E. Monson Arbitrator(s): Douglas J. Rovens, Mark A. Levy, James S. Carlson Hearing Site: Los Angeles, CA
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07-01383 | 09/08/2008 | Claimant(s): Wells Fargo Investments Claimant Lawyers(s): Gregory B. Simon Respondent(s): Krittibas Ray Respondent Lawyers(s): Alvin L. Fishman Arbitrator(s): Mary Curran, Robert G. Miller, Jerold R. Babin Hearing Site: San Francisco, CA
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