IN THE MATTER OF THE ARBITRATION BETWEEN: NAMES OF CLAIMANTS, TED FOSTER AND PATRICIA FOSTER v. NAMES OF RESPONDENTS, US BANCORP PIPER JAFFRAY, INC. AND KELLEY TATREAU, 2004 WL 1672226, Date of Service (For FINRA office use only): September 30, 2008
IN THE MATTER OF THE ARBITRATION BETWEEN NAMES OF CLAIMANTS, PATRICK AND CYNTHIA GREEN and NAMES OF RESPONDENTS, SALOMON SMITH BARNEY, INC. DAVID C. HAWKINSON, AND MARK BARICKMAN, 2003 WL 431564, Date of Service (For NASD office use only): February 3, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT, THE ESTATE OF RALPH W. MULL and NAMES OF RESPONDENT, DOMINION INVESTOR SERVICES, INC. ICM FINANCIAL SERVICES, INC., AND DANIEL D. FENCL, 2003 WL 1831594, Date of Service (For NASD office use only): March 18, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN: NAME OF THE CLAIMANT, DAVID WEMHOFF v. NAME OF THE RESPONDENTS, EDWARD D. JONES & CO. ANDREW J. ARKFELD, 2003 WL 23138759, Signature Date: December 23, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT, KAREN SOIKE and NAMES OF RESPONDENT, FIRST UNION SECURITIES, INC., WELLS FARGO INVESTMENTS LLC, RICHARD A. STACHON, BRYAN L. JOHNSON, AND MICHAEL N. KANE, II, 2003 WL 450706, Date of Service (For NASD office use only): January 27, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN NAMES OF CLAIMANTS, DR. MICHAEL P. MCCORMACK AND MRS. JANELLE A. MCCORMACK and NAMES OF RESPONDENTS, RAYMOND JAMES FINANCIAL SERVICES, INC., WINFIELD G. MAYNE AND DUANE A. STURM, 2005 WL 3439756, Date of Service (For NASD office use only): December 12, 2005
IN THE MATTER OF THE ARBITRATION BETWEEN NAMES OF CLAIMANTS, MICHAEL AND JULIE POTTORFF and NAMES OF RESPONDENTS, CITIGROUP GLOBAL MARKETS, INC., F/N/A SALOMON SMITH BARNEY, INC., JAY D. LAYMAN, AND MARK D. STUCK, 2005 WL 182901, Date of service: January 12, 2005
IN THE MATTER OF THE ARBITRATION BETWEEN: DAKOTA CONSTRUCTION, INC. v. VTR CAPITAL, INC., A/K/A FAIRCHILD FINANCIAL GROUP, INC., JASON COPE, JEFFREY HABERSTROH, WALLACE CONLEY AND E.M. HOLDINGS, 2001 WL 36188077, Signature Date: April 5, 2001
IN THE MATTER OF THE ARBITRATION BETWEEN CLAIMANT, MARIE E. SCHWARTZ v. RESPONDENTS, WACHOVIA SECURITIES, LLC F/K/A FIRST UNION SECURITIES, INC. AND JULIAN KLACZYNSKY, 2004 WL 2524499, Date of service: October 25, 2004
DENNIS N. CHRISTENSEN, CLAIMANT, v. SHEARSON LEHMAN BROTHERS, INC., N/K/A SMITH BARNEY, INC., AND JAMIE CONSTANTINE, RESPONDENTS, 1995 WL 1312867, Date of Decision: May 1, 1995
IN THE MATTER OF THE ARBITRATION BETWEEN JOHN F. FREIBURGER, INDIVIDUALLY AND AS TRUSTEE OF THE TRUST AGREEMENT DATED 21 JUNE 1974 BY DOROTHY MAY FREIBURGER and KIRKPATRICK, PETTIS, SMITH, POLIAN, INC. AND MARY JOCHIM, 1995 WL 1312956, Date of Decision: October 19, 1995
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT, RUSSELL SMALL and NAMES OF RESPONDENTS, GLENN MICHAEL FINANCIAL, INC., FRANCINE A. LANAIA, GLENN M. LANAIA, AND WILLIAM E. STANTON, IV, 2003 WL 722112, Date of Service (For NASD office use only): February 13, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN NAMES OF CLAIMANTS, KEITH PETERSON, INDIVIDUALLY, AND AS TRUSTEE OF THE KEITH PETERSON TRUST, ROSE PETERSON, INDIVIDUALLY, AND CAROL WHETSHINE AS TRUSTEE OF THE ROSE PETERSON TRUST and NAMES OF RESPONDENTS, RAYMOND JAMES FINANCIAL SERVICES, INC. AND WILLIAM HENRY JORDAN, III, 2006 WL 1186089, Date of Service (For NASD office use only): April 12, 2006
IN THE MATTER OF THE ARBITRATION BETWEEN: NAME OF CLAIMANT, JEFFREY TOPHAM v. NAME OF RESPONDENT, T.D. WATERHOUSE INVESTMENT SERVICES, INC., 2007 WL 1094338, Date of Service (For NASD office use only): March 27, 2007
IN THE MATTER OF THE ARBITRATION BETWEEN: NAME OF THE CLAIMANTS, HAROLD BLACK AND CAROLYN SWAILS v. NAME OF THE RESPONDENTS, AMERIPRISE FINANCIAL SERVICES, INC. AND CHRISTOPHER D. LEYDEN, 2006 WL 1360125, Date of Service (For NASD Dispute Resolution office use only): April 28, 2006
IN THE MATTER OF THE ARBITRATION BETWEEN FIRST UNION SECURITIES, F/K/A EVEREN SECURITIES, INC. and TERREL L. BECKWITH, 2001 WL 1250290, Signature Date: September 25, 2001
IN THE MATTER OF THE ARBITRATION BETWEEN: LESTER & LOIS GURDIN, CLAIMANTS, v. WACHOVIA SECURITIES, INC. ROBERT J. HAYES AND JOHN DOE (ROBERT J. HAYES' SUPERVISOR), RESPONDENTS, 2003 WL 22657839, Date of Service (For NASD Dispute Resolution use only): October 30, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT, DENNIS GOOD and NAME OF RESPONDENTS, RAYMOND JAMES FINANCIAL SERVICES, INC. WINFIELD MAYNE, 2003 WL 22332167, Signature Date: October 1, 2003
IN THE MATTER OF ARBITRATION BETWEEN WILLIAM C. SCHWENCK, CLAIMANT, AND PIPER JAFFRAY, INC., RESPONDENT., 1997 WL 282926, Date of Decision: April 25, 1997
IN THE MATTER OF THE ARBITRATION BETWEEN NAMES OF CLAIMANTS, JOHN H. AND JENNIE JONES v. NAMES OF RESPONDENTS, ROBERT THOMAS SECURITIES, INC. AND MICHAEL S. LOWER, 1996 WL 522480, Date of Decision: July 16, 1996
IN THE MATTER OF THE ARBITRATION BETWEEN GEORGE E. FAUST AND CARMA R. FAUST, CLAIMANTS v. BERTHEL FISHER & CO. FINANCIAL SERVICES AND CRAIG EUGENE HALFPOP, RESPONDENTS, 1996 WL 705146, Date of Decision: September 18, 1996
IN THE MATTER OF THE ARBITRATION BETWEEN: WILLIAM ALLEN MOSS v. E*TRADE, 2000 WL 899506, Decided Date: May 24, 2000
IN THE MATTER OF THE ARBITRATION BETWEEN: GARY MILLER, (CLAIMANT) v. DAIN RAUSCHER, INC. AND EDWARD WEEKS, (RESPONDENTS), 2000 WL 726245, Award Served: January 18, 2000
IN THE MATTER OF THE ARBITRATION BETWEEN NAMES OF CLAIMANTS, RITA AND SPENCER PETERSON and NAMES OF RESPONDENTS, SUNSET FINANCIAL SERVICES, INC., BRADFORD R. BURWELL, AND BRYAN S. BEHRENS, 2005 WL 2373770, Date of Service (For NASD office use only): September 13, 2005
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT, VIRGINIA YEAGER and NAMES OF RESPONDENTS, MORGAN STANLEY DW, INC., AND RYAN M. JOCHIM, 2005 WL 2620777, Date of Service (For NASD office use only): September 30, 2005
IN THE MATTER OF THE ARBITRATION BETWEEN: NAMES OF CLAIMANTS, NANCY J. PENNIMAN-LOGDSON AND JOHN LOGDSON and NAMES OF RESPONDENTS, PHILLIP & CO. SECURITIES, INC., STEVEN C. CLARK, TIMOTHY C. PHILLIPS, SEAN O. PERKINS AND PHILIP B. HAGEN, 2003 WL 22097003, Date of Service (For NASD office use only): August 26, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT DIANA PAGEL v. NAME OF RESPONDENTS R.G. DICKENSON & CO. ALLIED GROUP SECURITIES CORPORATION MICHAEL NIXON, 1992 WL 1026046, Date of Decision: May 26, 1992
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANTS DAVID and JANE BELL NAME OF RESPONDENTS SCOTT STRINGFELLOW, INC.; ALEXANDER J. VON THELEN, 1998 WL 1179731, Date of Decision: April 27, 1998
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT, WILLA SORENSON v. NAME OF RESPONDENTS, SHEARSON LEHMAN HUTTON, INC. AND THOMAS SULLIVAN, 1992 WL 448310, December 7, 1992
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANTS, DAVID R. HICKMAN AND YVONNE J. HICKMAN v. NAME OF RESPONDENTS, R.J. STEICHEN & COMPANY, WILLIAM HEALEY, 1993 WL 528588, Dated: October 15, 1993
IN THE MATTER OF THE ARBITRATION BETWEEN: NAME OF CLAIMANT, JEFFERY A. TOPHAM v. NAME OF RESPONDENT, T.D. WATERHOUSE INVESTOR SERVICES, INC., A/K/A TD AMERITRADE, INC., 2007 WL 2119430, Date of Service (For NASD office use only): July 10, 2007
IN THE MATTER OF THE ARBITRATION BETWEEN: NAME OF CLAIMANTS, JOHN D. TOPHAM AND RUTH J. TOPHAM v. NAMES OF RESPONDENTS, TD WATERHOUSE INVESTOR SERVICES, INC., AND STATE STREET GLOBAL ADVISORS, 2007 WL 674264, Date of Service (For NASD office use only): February 23, 2007
IN THE MATTER OF THE ARBITRATION BETWEEN: NAMES OF CLAIMANTS, MARY CAMPBELL, INDIVIDUALLY AND AS TRUSTEE OF THE MARY CAMPBELL TRUST, KATHERINE CARADORI, INDIVIDUALLY AND AS TRUSTEE FOR THE KATHERINE CARADORI TRUST v. NAMES OF RESPONDENTS, AMERICAN EXPRESS FINANCIAL ADVISORS N/K/A AMERIPRISE FINANCIAL SERVICES, DAVID L. STINNETT, AND GERALD DENNEY, 2007 WL 1657371, Date of Service (For NASD office use only): May 18, 2007
IN THE MATTER OF THE ARBITRATION BETWEEN: NAME OF CLAIMANT, CHARLOTTE M. HULL v. NAMES OF RESPONDENTS, SII INVESTMENTS, INC. AND TIMOTHY R. HAWKINS, 2007 WL 2317529, Date of Service (For NASD office use only): July 30, 2007
IN THE MATTER OF THE ARBITRATION BETWEEN: NAMES OF CLAIMANTS, LANCE DESTWOLINSKI, INDIVIDUALLY AND AS CO-TRUSTEE OF THE LANCE DESTWOLINSKI REVOCABLE TRUST AND ELIZABETH DESTWOLINSKI, INDIVIDUALLY AND AS CO-TRUSTEE OF THE LANCE DESTWOLINSKI TRUST v. NAME OF RESPONDENT, CITIGROUP GLOBAL MARKETS, INC., 2007 WL 3102360, Date of Service (For FINRA office use only): October 11, 2007
IN THE MATTER OF THE ARBITRATION BETWEEN: DAKOTA CONSTRUCTION, INC. v. VTR CAPITAL, INC., A/K/A FAIRCHILD FINANCIAL GROUP, INC., JASON COPE, JEFFREY HABERSTROH, WALLACE CONLEY AND E.M. HOLDINGS, 2001 WL 34076628, Signature Date: April 5, 2001
IN THE MATTER OF THE ARBITRATION BETWEEN: DAKOTA CONSTRUCTION, INC. v. VTR CAPITAL, INC., A/K/A FAIRCHILD FINANCIAL GROUP, INC., JASON COPE, JEFFREY HABERSTROH, WALLACE CONLEY AND E.M. HOLDINGS, 2001 WL 474673, Date of Service (For NASD office use only): April 4, 2001
IN THE MATTER OF THE ARBITRATION BETWEEN MARY LOU MULL, CLAIMANT v. PAUL A. BARR, BARR ASSET MANAGEMENT, AND FSC SECURITIES, INC., RESPONDENTS., 2002 WL 31737322, Date of Decision: November 15, 2002
IN THE MATTER OF THE ARBITRATION BETWEEN: NAME OF CLAIMANTS, MICHAEL J. SMITH AND LUCY C. SMITH and NAME OF RESPONDENTS, LINSCO/PRIVATE LEDGER CORP., CARSON WEALTH MANAGEMENT GROUP, RONALD L. CARSON, JR., 2004 WL 383616, Signature Date: February 12, 2004
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANTS, RAYMOND R. HOUSH AND NANCY W. HOUSH and NAME OF RESPONDENTS, RAYMOND JAMES FINANCIAL SERVICES, INC., WINFIELD G. MAYNE, 2004 WL 527028, Signature Date: February 27, 2004
IN THE MATTER OF THE ARBITRATION BETWEEN NAMES OF CLAIMANTS, GARY SHIELDS AND CAROL SHIELDS and NAMES OF RESPONDENTS, WELLS FARGO SECURITIES, INC. AND G. BRUCE MCDERMOTT, 2003 WL 21956539, Date of Service (For NASD office use only): August 4, 2003
IN THE MATTER OF THE ARBITRATION BETWEEN NAME OF CLAIMANT, JANICE FABER and NAMES OF RESPONDENTS, FSC SECURITIES CORP. BARR ASSET MANAGEMENT AND PAUL A. BAR, 2003 WL 21956628, Date of Service (For NASD office use only): August 6, 2003
