| 07-02946 | 06/26/2008 | Claimant(s): Richard Haskell, Susan Haskell
Claimant Lawyers(s): Sean Greenwood
Respondent(s): Scottrade.
Respondent Lawyers(s): Thomas L. Azar
Arbitrator(s): Ralph M. Goren, Daniel C. Kriser, Marilee Roberg
Hearing Site: Chicago, IL
|  | $0 |
| 02-04882 | 06/12/2008 | Claimant(s): Dale Wise
Claimant Lawyers(s): Paul J. Sussman
Respondent(s): Bernard Ringer, Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Eric J. Cassidy
Arbitrator(s): Michael S. Matek, Richard E. Ascher, David John Diersen
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 07-00340 | 06/12/2008 | Claimant(s): Purita MacKey, Purita Mackey Trust
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Jonathan Zulauf, Edward Jones
Respondent Lawyers(s): Peter B. Shaeffer, Robert P. Bramnik
Arbitrator(s): Alan E. Case, Gordon B. Shneider, Joseph D. Savino
Hearing Site: Chicago, IL
| | Stipulated Award and Expungement |
| 06-05209 | 05/30/2008 | Claimant(s): Carol Marubio, Richard Marubio
Claimant Lawyers(s): Mark P. Loftus
Respondent(s): James Sims, Robert Thurlby, MetLife Securities.
Respondent Lawyers(s): Penelope M. Taylor
Arbitrator(s): Mary Beth Wheeler, David John Diersen, Craig D. Cook
Hearing Site: Chicago, IL
| | $0 |
| 08-00022 | 05/23/2008 | Claimant(s): ANJ Corporation
Claimant Lawyers(s): John Wilson
Respondent(s): Euro Pacific Capital.
Respondent Lawyers(s): Michael Carroll
Arbitrator(s): Michael Nathanson
Hearing Site: Chicago, IL
| | $12,000 |
| 07-01148 | 03/17/2008 | Claimant(s): Mary Schilling
Claimant Lawyers(s): Richard B. Fosher
Respondent(s): Morgan Stanley DW Inc.
Respondent Lawyers(s): Thomas P. Briody
Arbitrator(s): Jerome J. Brault, John W. Jerak, Steven H. Vogel
Hearing Site: Chicago, IL
| | $0 |
| 06-05235 | 03/11/2008 | Claimant(s): Gary Weglarz
Claimant Lawyers(s): Leslie A Blau
Respondent(s): Donna Bellamy, Wayne Dennis, Woodbury Financial Services.
Respondent Lawyers(s): John D. Ryan, Marshall L. Blankenship
Arbitrator(s): Michael S. Matek, John W. Jerak, Michael Stephen Knight
Hearing Site: Chicago, IL
| | $0 |
| 06-05099 | 01/18/2008 | Claimant(s): David Peregrin
Claimant Lawyers(s): James A. McGurk
Respondent(s): William Kassar
Respondent Lawyers(s): James J. Eccleston
Arbitrator(s): Caroline N. Harney, Carol McHugh Sanders, Gary David Cope
Hearing Site: Chicago, IL
| | $198,297 |
| 07-02188 | 01/18/2008 | Claimant(s): Minxin Bao
Claimant Lawyers(s): Minxin Bao
Respondent(s): Firstrade Securities.
Respondent Lawyers(s): Peter Gschweng
Arbitrator(s): Lee H. Goodman
Hearing Site: Chicago, IL
| | $25,392 |
| 05-01567 | 12/27/2007 | Claimant(s): Mary DeThorne
Claimant Lawyers(s): Peter A. Cantwell
Respondent(s): Edward Malysiak, Rothschild Investment Corp.
Respondent Lawyers(s): James B. Koch, Michael R. Grimm
Arbitrator(s): Ronald C. Peters, William B. Ross, Leonard Arthur Nelson
Hearing Site: Chicago, IL
| | $9,626 |
