| 07-02897 | 05/23/2008 | Claimant(s): Wachovia Securities, A.G. Edwards & Sons.
Claimant Lawyers(s): Katherine B. Harrison
Respondent(s): Cathy McJilton, Stifel, Nicolaus & Co.., Denise Gilseth, Kelly Stomgren, Samuel Slayden
Respondent Lawyers(s): James A. Hughes, Kenneth C. Mennemeier
Arbitrator(s): Harry B. Endsley, Ralph A. Cotton, E. Duane Stephens
Hearing Site: San Francisco, CA
| | |
| 07-03519 | 05/23/2008 | Claimant(s): Marc. Saunders, Terri Saunders
Claimant Lawyers(s): Kenneth B. Siegel
Respondent(s): Wachovia Securities
Respondent Lawyers(s): William D. Nelson
Arbitrator(s): Susan M. Thevenet, Steven Meyrich, Martha Jeanne Wilcoxson
Hearing Site: Denver, CO
| | |
| 06-02602 | 05/22/2008 | Claimant(s): James Parascandola
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): Barclays Capital.
Respondent Lawyers(s): Nicolas Bourtin
Arbitrator(s): John J. Lynch, Ivan W. Harper, David Kramer
Hearing Site: New York, NY
| | |
| 07-00643 | 05/22/2008 | Claimant(s): Richard Olszewski
Claimant Lawyers(s): Jason A. Archinaco
Respondent(s): Lewis Sanders, AllianceBernstein Investments., AllianceBerstein Investment Research
Respondent Lawyers(s): Joseph Baumgarten
Arbitrator(s): Richard D. DeVita, Robert J. Gorgia, Renee S. Rothschild
Hearing Site: Newark, NJ
| | |
| 07-02186 | 05/22/2008 | Claimant(s): Robert Kelliher
Claimant Lawyers(s): Robert F. Kelliher
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Andrew H. Smith
Arbitrator(s): Stephen Z. Frank
Hearing Site: Boston, MA
| | |
| 07-02934 | 05/22/2008 | Claimant(s): Andrew Aragona
Claimant Lawyers(s): Arthur C. Koski
Respondent(s): Wachovia Securities Financial Network
Respondent Lawyers(s): Patricia Morales Christiansen
Arbitrator(s): Dean R. Mielke, Les R. Campbell, Leon H. Tracy
Hearing Site: Ft. Lauderdale, FL
| | |
| 06-04399 | 05/21/2008 | Claimant(s): Daniel Dart
Claimant Lawyers(s): Dan Driscoll
Respondent(s): Pioneer Funds Distributor., Pioneer Investment Management USA., Pioneer Investment Management.
Respondent Lawyers(s): Timothy P. Burke
Arbitrator(s): S. Lawrence Gwin, John F. Poole, Edward Joseph Boudreau
Hearing Site: Boston, MA
| | |
| 07-01140 | 05/21/2008 | Claimant(s): Stephen Brooks
Claimant Lawyers(s): Ethan A. Brecher
Respondent(s): Merrill Lynch Investment Managers LP
Respondent Lawyers(s): Michael J. Fortunato
Arbitrator(s): Richard W. Cutler, Molly Klapper, Jerome Martin Pustilnik
Hearing Site: New York, NY
| | |
| 07-01902 | 05/21/2008 | Claimant(s): Jeffrey Mann, Paul Umansky, UMann Fund Management
Claimant Lawyers(s): Jeffrey Mann, Paul J. Umansky
Respondent(s): Triumph Global Securities, LTD
Respondent Lawyers(s): Alfred Ferrer
Arbitrator(s): Frank Muller, Peter A. Goldman, David Mark Sobel
Hearing Site: New York, NY
| | |
| 07-01691 | 05/20/2008 | Claimant(s): Raymond, James & Associates.
Claimant Lawyers(s): Kelli Bullington
Respondent(s): Dominic Lombardo
Respondent Lawyers(s): Dominic P. Lombardo
Arbitrator(s): Jay K. Buck
Hearing Site: Indianapolis, IN
| | |
