| 07-03478 | 10/14/2008 | Claimant(s): Michael Villasana
Claimant Lawyers(s): Peter J. Aldrich
Respondent(s): Gloria Gomez
Respondent Lawyers(s): Gloria Gomez
Arbitrator(s): John J. Hearn, Lawrence S. Silver, Neil J. Berman
Hearing Site: Miami, FL
| | Expungement |
| 05-06504 | 10/10/2008 | Claimant(s): First Montauk Securities Corp.
Claimant Lawyers(s): Gerry Kowalski
Respondent(s): Louis Inglese
Respondent Lawyers(s): Glenn S. Gitomer
Arbitrator(s): John W. Lear, William J. Hirsch, Kenneth Joseph Beahan
Hearing Site: Philadelphia, PA
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| 08-00148 | 10/10/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward A. Walton
Respondent(s): Douglas Studer
Respondent Lawyers(s): T. Gregory Slother
Arbitrator(s): Lon M. Hatton, Jonathan H. Stein, Robert Kevin O'Mara
Hearing Site: Tampa, FL
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| 08-00012 | 10/09/2008 | Claimant(s): Wedbush Morgan Securities
Claimant Lawyers(s): Lucia La Rosa Ames
Respondent(s): Richard LaBare
Respondent Lawyers(s): Arthur S. Leider
Arbitrator(s): Alfred E. Monahan, William L. Erwin, John C. Lees
Hearing Site: San Diego, CA
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| 05-06280 | 10/08/2008 | Claimant(s): Prudential Equity Group
Claimant Lawyers(s): David W. Schmidt
Respondent(s): Stanley Szymczyk
Respondent Lawyers(s): Stephen A. Madoni
Arbitrator(s): Salvatore A. Sciortino, James M. Goldberg, Karen J. Burneff
Hearing Site: Los Angeles, CA
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| 06-04971 | 10/07/2008 | Claimant(s): Larry Fullmer
Claimant Lawyers(s): Rogge Dunn
Respondent(s): Goldman, Sachs and Company
Respondent Lawyers(s): Robin D. Fessel
Arbitrator(s): George H. Casey, Dorothy B. Strackbein, Mark A. Levy
Hearing Site: Los Angeles, CA
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| 07-02523 | 10/03/2008 | Claimant(s): Amy Gibbons
Claimant Lawyers(s): Jonathan Sack
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Sandra D. Grannum
Arbitrator(s): Jack Friedman, Valerie Robbin Watts, Andrea Harum Schiavoni
Hearing Site: New York, NY
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| 07-01504 | 10/02/2008 | Claimant(s): RBC Dain Rauscher Inc.
Claimant Lawyers(s): Donald S. Arbour
Respondent(s): Joe Jennings, RBC Capital Markets Corporation
Respondent Lawyers(s): John R. Jacobson, Philip B. Seaton
Arbitrator(s): Thomas L. Maschmeyer, J. Maxwell Williams, Joseph R. Heinz
Hearing Site: Memphis, TN
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| 07-02018 | 10/02/2008 | Claimant(s): EKN Financial Services Inc.
Claimant Lawyers(s): Robert M. Bursky
Respondent(s): Andrew Grant
Respondent Lawyers(s): Mark D. Hunter
Arbitrator(s): Romaine L. Gardner, Alexander Forti, John T. Cafferty
Hearing Site: New York, NY
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| 08-00134 | 10/02/2008 | Claimant(s): National Securities Corporation
Claimant Lawyers(s): Michael S. Colombo
Respondent(s): Stephen Renaud
Respondent Lawyers(s): Stephen Arthur Renaud
Arbitrator(s): Doris Lindbergh
Hearing Site: New York, NY
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