| 06-02098 | 08/14/2008 | Claimant(s): John McQueen
Claimant Lawyers(s): John McQueen
Respondent(s): Jason Parlato, A.G. Edwards & Sons.
Respondent Lawyers(s): James C. Browning
Arbitrator(s): Patricia N. Cirillo, Richard W. Cutler, Charles Ajamian
Hearing Site: New York, NY
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| 07-03016 | 08/14/2008 | Claimant(s): H.C. Wainwright & Co..
Claimant Lawyers(s): Michael Stolper
Respondent(s): Legent Clearing LLC
Respondent Lawyers(s): Michael P. McCloskey
Arbitrator(s): Rhonda S. McCarthy, James A. Ricketts, Douglas A. Spier
Hearing Site: Omaha, NE
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| 08-00456 | 08/14/2008 | Claimant(s): CCO Investment Services Corp
Claimant Lawyers(s): David M. Belcher
Respondent(s): Citigroup Global Markets., Peter Coley
Respondent Lawyers(s): David A. Stein
Arbitrator(s): Richard J. Grahn, Joseph F. Meldon, Andrea J. Goldman
Hearing Site: Boston, MA
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| 07-00701 | 08/13/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Michael L. Chinitz
Respondent(s): Gabriel Defeo, Karen Ellis, Louis Garofano, Martin Courage
Respondent Lawyers(s): Catherine A. Sammartino, Todd M. Reed
Arbitrator(s): Stephen Z. Frank, Robert V. Deiana, Evalyn Lipton Fishbein
Hearing Site: Providence, RI
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| 07-01853 | 08/13/2008 | Claimant(s): Ameriprise Advisor Services.
Claimant Lawyers(s): Edward Walton
Respondent(s): Robert Casaceli
Respondent Lawyers(s): Jack J. Mazzara
Arbitrator(s): Stephen D Kursman, Timothy C. Moore, Gretchen M. Forrester
Hearing Site: Detroit, MI
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| 07-03083 | 08/12/2008 | Claimant(s): RBC Capital Markets Corporation
Claimant Lawyers(s): Carolyn Guy
Respondent(s): Anthony Russo
Respondent Lawyers(s): Anthony Russo
Arbitrator(s): Larry D. Hayden
Hearing Site: Denver, CO
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| 07-02052 | 08/11/2008 | Claimant(s): Libucki and Company.
Claimant Lawyers(s): Debra G. Speyer
Respondent(s): Birchwood Securities Corporation
Respondent Lawyers(s): Paula D. Shaffner
Arbitrator(s): Michael D. Neft, Kenneth Joseph Beahan, Court O. Anderson
Hearing Site: Philadelphia, PA
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| 07-02359 | 08/08/2008 | Claimant(s): Banc of America Investment Services Inc.
Claimant Lawyers(s): Thomas A. Volz
Respondent(s): Michael Cole
Respondent Lawyers(s): Michael W. Cole
Arbitrator(s): Lewis W. Slaughter, Robert H. Nelson, Gary F. Lang
Hearing Site: Orlando, FL
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| 07-02921 | 08/08/2008 | Claimant(s): Anthony Russo, Christopher Drake, David Luna, Stifel, Nicolaus & Co.., Donald Johns, Edward Gutierrez, Herbert Keyser, Jon Bostrom, Linda Swart-Scipione, Lisa Evans, Lisa McCrea, Manuel Lozano, Michael Nielsen, Raymond Reed
Claimant Lawyers(s): Joseph A. Dougherty, Kenneth C. Mennemeier
Respondent(s): Wachovia Securities, A.G. Edwards & Sons.
Respondent Lawyers(s): Jordan D. Becker
Arbitrator(s): Keith D. Patten, Robert W. Dempsey, Jeffrey N. Sullivan
Hearing Site: St. Louis, MO
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| 08-00207 | 08/08/2008 | Claimant(s): Milton Leeman
Claimant Lawyers(s): W. Scott Turnbull
Respondent(s): George Babyak
Respondent Lawyers(s): Jennie K. Ferguson
Arbitrator(s): Charles D. Underwood, Christy K. Radigan, Matthew Harold Fields
Hearing Site: Columbus, OH
| | Expungement |
