| 08-01203 | 11/10/2008 | Claimant(s): Wells Fargo Investments
Claimant Lawyers(s): Diane C. Fischer
Respondent(s): James Maurice
Respondent Lawyers(s): James Kenneth Maurice
Arbitrator(s): Roger D. Johnson
Hearing Site: Des Moines, IA
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| 08-01545 | 11/10/2008 | Claimant(s): Dawson James Securities.
Claimant Lawyers(s): Monique MacLaren
Respondent(s): Chanchal Mehta
Respondent Lawyers(s): Chanchal Mehta
Arbitrator(s): Ronald H. Walton
Hearing Site: Boca Raton, FL
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| 06-04308 | 11/07/2008 | Claimant(s): Andrew Garrett.
Claimant Lawyers(s): Barry M. Bordetsky
Respondent(s): Alan Underberg, Ernest Silano, Robert Rosen, Vincent Ficci, Bishop, Rosen & Co..
Respondent Lawyers(s): David A. Schrader, Eugene M. Underberg, Martin S. Siegel, Vincent C. Ficci
Arbitrator(s): Donald Ferguson, Randolph Guggenheimer, Roy L. Weiss
Hearing Site: New York, NY
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| 08-01429 | 11/07/2008 | Claimant(s): Daniel Carnevale
Claimant Lawyers(s): Peter J. Aldrich
Respondent(s): Dr. Robert P. & Patricia A. Laurence
Respondent Lawyers(s): Scott J. Link
Arbitrator(s): Patricia Gunn, Larry G. Kjosa, Pat Anthony Mercurio
Hearing Site: Orlando, FL
| | Expungement |
| 07-01194 | 11/06/2008 | Claimant(s): CCO Investment Services Corp.
Claimant Lawyers(s): David M. Belcher
Respondent(s): David Fowler, Donna Furgal, Eric Wasson, NEXT Financial Group.
Respondent Lawyers(s): Ami Shah
Arbitrator(s): Marilyn H. Zuckerman, Laura M. Nelson, Alan Harry Roth
Hearing Site: Boston, MA
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| 07-03103 | 11/06/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): D. Daxton White
Respondent(s): Charles Hill
Respondent Lawyers(s): Charles Ray Hill
Arbitrator(s): William H. McCullough, Greg Knight, Angelo J. Infantino
Hearing Site: Orlando, FL
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| 08-00544 | 11/06/2008 | Claimant(s): Westpark Capital.
Claimant Lawyers(s): Paul Caron
Respondent(s): Chanse Menendez
Respondent Lawyers(s): Chanse Keith Menendez
Arbitrator(s): John J. Witkowski
Hearing Site: New York, NY
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| 07-02763 | 11/05/2008 | Claimant(s): Thomas Payant
Claimant Lawyers(s): Randall C. Place
Respondent(s): Raymond James Financial Services.
Respondent Lawyers(s): Leslie R. Murtagh
Arbitrator(s): Robert W. Kneeland, Kenneth R. Starr, Randall Simmons Smith
Hearing Site: Tampa, FL
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| 07-01435 | 10/31/2008 | Claimant(s): John Buglisi
Claimant Lawyers(s): Raji Kocchar
Respondent(s): Lewis Franklin
Respondent Lawyers(s): Lewis Joseph Franklin
Arbitrator(s): Judith C. Greene
Hearing Site: New York, NY
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| 07-03357 | 10/31/2008 | Claimant(s): Gerald Tagge, Gregory Rutherford, Scott Norvell
Claimant Lawyers(s): David A. Domina
Respondent(s): Royal Alliance Associates.
Respondent Lawyers(s): John T. Gerhart
Arbitrator(s): Bruce C. Young, Donald H. Loudon, Mark F. Marshall
Hearing Site: Omaha, NE
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