07-02404 | 07/16/2008 | Claimant(s): Waddell & Reed Claimant Lawyers(s): Matthew R. Stammel Respondent(s): A. Waddell Respondent Lawyers(s): James A. Batson Arbitrator(s): Bonnie K. Wachtel, Gerald Charnoff, Barbara B. Franklin Hearing Site: Washington, DC
| | |
07-02588 | 07/11/2008 | Claimant(s): Katie Guzzo Claimant Lawyers(s): Brian J. Sommer Respondent(s): Citigroup Global Markets. Respondent Lawyers(s): Kevin B. Walker Arbitrator(s): Paul H. McKenna, Jared D. Simmer, Kenneth Alan Eisner Hearing Site: Pittsburgh, PA
| | |
08-00802 | 07/11/2008 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc. Claimant Lawyers(s): Jill B. Clarke Respondent(s): Bradley Bangen Respondent Lawyers(s): Bradley C. Bangen Arbitrator(s): Arno C. Schwethelm Hearing Site: Houston, TX
| | |
07-02874 | 07/10/2008 | Claimant(s): Bill Tsevdos Claimant Lawyers(s): Bill S. Tsevdos Respondent(s): TD Ameritrade. Respondent Lawyers(s): Janis Campanella Arbitrator(s): Lucas A. Ferrara Hearing Site: New York, NY
| | |
06-03489 | 07/03/2008 | Claimant(s): Jon Nee Claimant Lawyers(s): William K. Diehl Respondent(s): Banc of America Investment Services Inc., Bank of America, N.A. Respondent Lawyers(s): George C. Covington Arbitrator(s): Don M. Bieger, James Whitaker Ballou, Celeste A. Beron Hearing Site: Charlotte, NC
| | |
06-04830 | 07/03/2008 | Claimant(s): Jose Padilla Claimant Lawyers(s): Martin M. Berliner Respondent(s): Michael Jones, Patrick Sutherland, Ronald Bloomingkemper, Ronald Petranovich, USA Holdings., United Securities Alliance. Respondent Lawyers(s): Julie M. Walker, Matthew T. Covington Arbitrator(s): Robert D. Greenlee, Gerhard L. Schopen, Craig Stanley Ralston Hearing Site: Denver, CO
| | |
07-02216 | 07/03/2008 | Claimant(s): Howe Barnes Hoefer & Arnett. Claimant Lawyers(s): David T.B. Audley Respondent(s): Ronald Smith Respondent Lawyers(s): Paul J. Sussman Arbitrator(s): Ronald A. Lavery Hearing Site: Chicago, IL
| | |
05-00529 | 07/02/2008 | Claimant(s): UBS Financial Services Inc. Claimant Lawyers(s): Sandra Grannum Respondent(s): Christopher Becker Respondent Lawyers(s): Christopher W. Becker Arbitrator(s): Theodore Moreines, Nathan J. Minucci, Robert J. Gorgia Hearing Site: Newark, NJ
| | |
06-04968 | 07/02/2008 | Claimant(s): Wachovia Securities Claimant Lawyers(s): David H. Smith Respondent(s): Sergio Negrini Respondent Lawyers(s): David R. Chase Arbitrator(s): Syma S. Kasdin, Richard J. Kaplan, Norman E. Heyman Hearing Site: Boca Raton, FL
| | |
07-03439 | 07/02/2008 | Claimant(s): James Kelly Claimant Lawyers(s): Partha P. Chattoraj Respondent(s): UBS Securities LLC Respondent Lawyers(s): Lloyd B. Chinn Arbitrator(s): Dennis C. Cronin, David S. Billet, Madelon M. Rosenfeld Hearing Site: New York, NY
| | |