| 06-03531 | 12/31/2007 | Claimant(s): Carrie Mohundro
Claimant Lawyers(s): Joe Alfred Izen
Respondent(s): Richard Ibarra, Institutional Equity Corporation
Respondent Lawyers(s): David B. Dyer, Jeffrey Michel
Arbitrator(s): Robert L. Chisolm, Robert R. Marquardt, Larry N. Quinn
Hearing Site: Dallas, TX
|  | $0 |
| 05-06441 | 12/14/2007 | Claimant(s): Barry Raykoske
Claimant Lawyers(s): Jeanne Crandall
Respondent(s): Gregory Matthews, William Matthews, FSC Securities Corporation, NFP Securities.
Respondent Lawyers(s): Clint A. Corrie, D. Craig Brinker
Arbitrator(s): Diane Muse, Donald C. Hood, Robert J. Gregory
Hearing Site: Dallas, TX
| | $349,500 |
| 05-02643 | 12/07/2007 | Claimant(s): Diana Lackey, Richard Lackey, The Lackey Family Trust
Claimant Lawyers(s): Diana L. Lackey, Richard Lackey
Respondent(s): James Ahern, Casimir Capital L.P.
Respondent Lawyers(s): Sameer Rastogi
Arbitrator(s): Phillip Lee Scheldt, John Courtade, Preston Deaton Rigsby
Hearing Site: Dallas, TX
| | $98,719 |
| 07-01038 | 11/02/2007 | Claimant(s): Joe Stringer
Claimant Lawyers(s): Joe Robert Stringer
Respondent(s): J.P. Morgan Securities., Citigroup Global Markets., Mellon Securities LLC
Respondent Lawyers(s): Alejandro Schwed, Anthony J. Galioto, Bradley J. Johnson
Arbitrator(s): William E. Hartsfield, Cheryl Jerome Moore, Joseph A. Vicario
Hearing Site: Dallas, TX
| | $0 |
| 02-07725 | 10/16/2007 | Claimant(s): Barbara Doop
Claimant Lawyers(s): Jakes Jordaan
Respondent(s): David Komansky, Deepak Raj, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Joel R. Sharp, Pamela C. Serranzana
Arbitrator(s): William L. Dorcy, James K. Pittman, Thomas Mark Zeller
Hearing Site: Dallas, TX
| | Expungement |
| 06-03506 | 09/26/2007 | Claimant(s): Deirdre North, FBO Blair A. Riddell Education Trust, FBO Blake A. Riddell Education Trust
Claimant Lawyers(s): William O. Wuester
Respondent(s): RBC Capital Markets Corporation
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Bill M. Lamoreaux, Joseph J. Ligi, Larrie Alan Weil
Hearing Site: Dallas, TX
| | $0 |
| 06-04751 | 09/25/2007 | Claimant(s): Deborah Comer
Claimant Lawyers(s): Deborah Comer
Respondent(s): Chistopher Lyons, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan Rafterman
Arbitrator(s): Valynda A. Ewton, James M. Tipton, Irwin S. Sugerman
Hearing Site: Dallas, TX
| | $0 |
| 06-04143 | 09/24/2007 | Claimant(s): Claire Cross
Claimant Lawyers(s): Mark H. How
Respondent(s): Samuel Solomon, Solomon Advisors
Respondent Lawyers(s): Samuel P. Solomon
Arbitrator(s): Joann Peters, Martha Z. Ralstin, Raul Antonio Canez
Hearing Site: Dallas, TX
| | $232,300 |
| 06-03781 | 09/19/2007 | Claimant(s): Ronald Zander
Claimant Lawyers(s): Richard A. Lewins
Respondent(s): Samuel Solomon, Solomon Advisors
Respondent Lawyers(s): Samuel P. Solomon
Arbitrator(s): Dolores M Martin, J. Ken Lanyon, Catherine M. Norman
Hearing Site: Dallas, TX
| | $120,500 |
| 04-01862 | 08/27/2007 | Claimant(s): Virginia Kent, Louis and Virginia Kent
Claimant Lawyers(s): Martyn B. Hill
Respondent(s): Louis Kent, M. Bowles, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Alan S. Rafterman, Martyn B. Hill
Arbitrator(s): Raymond E. Jennison, Carol A. Freeland, Patricia B. Lehtola
Hearing Site: Dallas, TX
| | $0 |
