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